John Allen Rossitto, CFP, CHFC, CLU | Financial Professional | Yuma, Arizona

Professional summary

John Allen Rossitto, CFP®, ChFC®, CLU® is a registered financial advisor currently at IHT WEALTH MANAGEMENT LLC located in Yuma, Arizona and LPL FINANCIAL LLC located in Yuma, Arizona.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. John has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Allen Rossitto's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2004

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

July 21, 2018 - Present

IHT WEALTH MANAGEMENT LLC

RIA

CRD#: 171481

YUMA, AZ

Current

March 15, 2006 - Present

LPL FINANCIAL LLC

RIA

BD

CRD#: 6413

YUMA, AZ

Past

September 13, 2025 - July 13, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

SPRING VALLEY, CA

Past

March 16, 2006 - October 3, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

SPRING VALLEY, CA

Past

February 3, 2003 - March 17, 2006

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

SPRING VALLEY, CA

Past

October 19, 1987 - January 1, 2002

ROBERT W. BAIRD & CO. INCORPORATED

BD

CRD#: 8158

MILWAUKEE, WI

Past

October 19, 1987 - March 17, 2006

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD

CRD#: 2881

MILWAUKEE, WI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

IW

IHT WEALTH MANAGEMENT LLC

CRD#: 171481 / SEC#: 801-79769

RIA

Registered Investment Advisory firm - (5/28/2014 Approved)

Florida

Registered Investment Advisory firm - (12/6/2016 Terminated)

Illinois

Registered Investment Advisory firm - (2/24/2015 Terminated)

Texas

Registered Investment Advisory firm - (12/6/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR

Arizona
(3/15/2006)

IAR

Arizona
(12/10/2021)

RR

Arkansas
(12/10/2024)

RR

California
(3/15/2006)

IAR

California
(7/21/2018)

RR

Delaware
(5/3/2023)

RR

District of Columbia
(9/11/2024)

RR

Florida
(10/16/2017)

RR

Idaho
(3/7/2023)

RR

Indiana
(3/10/2025)

RR

Louisiana
(2/4/2025)

RR

Maryland
(3/15/2006)

RR

Massachusetts
(1/22/2026)

RR

Missouri
(5/23/2024)

RR

Montana
(12/19/2018)

RR

Nevada
(1/27/2015)

RR

New York
(3/15/2006)

RR

North Carolina
(4/19/2022)

RR

Pennsylvania
(9/18/2020)

RR

Texas
(7/8/2014)

RR

Virginia
(11/27/2017)

RR

Washington
(4/13/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/21/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 6/19/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 6/26/2000

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 10/16/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 6/5/2006

General Securities Principal Examination

SRO Registrations

RR

FINRA

Current Firm

IW

IHT WEALTH MANAGEMENT LLC

CRD#: 171481 / SEC#: 801-79769

RIA

Registered Investment Advisory firm - (5/28/2014 Approved)

Florida

Registered Investment Advisory firm - (12/6/2016 Terminated)

Illinois

Registered Investment Advisory firm - (2/24/2015 Terminated)

Texas

Registered Investment Advisory firm - (12/6/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

123 N. Wacker Dr. Suite 2300, Chicago, IL 60606

Mailing Address

Phone number

(855) 295-2828

Established

Firm type

Fiscal year end

# of Employees

179

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV FIRM BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts	23,131
AUM (Assets Under Management)	$ 6,376,084,483

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

John A. Rossitto

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Allen Rossitto's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

IHT WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/21/1999

Series 63

Date: 6/19/1990

SIE

Date: 10/1/2018

Series 7

Date: 6/26/2000

Series 6

Date: 10/16/1987

Series 24

Date: 6/5/2006

FINRA

Current Firm

IHT WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

IHT WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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