Paul Brent Simmons | Financial Professional | Louisville, Kentucky

Professional summary

Paul Brent Simmons is a registered financial advisor currently at IHT WEALTH MANAGEMENT LLC located in Louisville, Kentucky and LPL FINANCIAL LLC located in Louisville, Kentucky.

Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Paul has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1) 06/2023 - LPL Business - Inv. Related - At Reported Business Location(s) - 160hrs/month - 100% time spent 2) 06/2023- Highlands Capital Management / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) -Start date 06/15/2023 - 160 hrs per month 160 3) 07/19/2023 - IHT WEALTH MANAGEMENT, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date 06/15/2023 - 160 Hours Per Month/ 40 Hours During Trading - Time Spent 100% - I provide investment advisory services through IHT WEALTH MANAGEMENT, LLC, an independent investment advisor firm. I started this business activity in 6/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Brent Simmons'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®

None

Experience

Current

February 4, 2025 - Present

IHT WEALTH MANAGEMENT LLC

Office #1: 4350 Brownsboro Road, Suite 110, Louisville, KY 40207

RIA

CRD#: 171481

Louisville, KY

Current

July 3, 2023 - Present

LPL FINANCIAL LLC

Office #1: 4350 Brownsboro Road Suite 110, Louisville, KY 40207

RIA

BD

CRD#: 6413

Louisville, KY

Past

July 14, 2023 - December 31, 2024

IHT WEALTH MANAGEMENT LLC

RIA

CRD#: 171481

Louisville, KY

Past

September 3, 2010 - July 7, 2023

MORGAN STANLEY

RIA

CRD#: 149777

Louisville, KY

Past

September 3, 2010 - July 7, 2023

MORGAN STANLEY

BD

CRD#: 149777

Louisville, KY

Past

September 19, 2002 - September 10, 2010

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

LOUISVILLE, KY

Past

September 2, 1994 - September 10, 2010

UBS FINANCIAL SERVICES INC.

BD

CRD#: 8174

LOUISVILLE, KY

Past

December 22, 1988 - September 9, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD

CRD#: 7691

NEW YORK, NY

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

Alabama
(7/3/2023)

RR

Arizona
(7/3/2023)

RR

Colorado
(7/3/2023)

RR

Connecticut
(7/3/2023)

RR

Delaware
(7/3/2023)

RR

Florida
(7/3/2023)

RR

Georgia
(7/3/2023)

RR

Indiana
(7/3/2023)

RR

Kentucky
(7/3/2023)

IAR

Kentucky
(2/4/2025)

RR

Michigan
(7/3/2023)

RR

New Jersey
(7/3/2023)

RR

North Carolina
(7/3/2023)

RR

Ohio
(7/3/2023)

RR

Tennessee
(7/3/2023)

RR

Texas
(7/3/2023)

RR

Virginia
(7/3/2023)

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: 6/21/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 1/10/1989

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 31

Date: 8/31/1999

Futures Managed Funds Examination

General Industry/Product Exam

RR

Series 7

Date: 12/17/1988

General Securities Representative 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

Paul B. Simmons

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Brent Simmons's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

IHT WEALTH MANAGEMENT LLC

MORGAN STANLEY

MORGAN STANLEY

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

IHT WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/21/1996

Series 63

Date: 1/10/1989

SIE

Date: 10/1/2018

Series 31

Date: 8/31/1999

Series 7

Date: 12/17/1988

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

Contact information

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