Theodore F Slupik, CFP | Financial Professional

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Theodore F Slupik, CFP® was a registered financial professional .

Theodore is a previously registered financial professional and started their career in finance in 1992. Theodore had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

No

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. 07/23/2012 - SUSAN M CLOW IRREVOCABLE TRUST/ OTHER/ INVESTMENT RELATED/ 0%/ NAPERVILLE, IL 2. 07/01/2021 - GST TRUST FOR SUSAN THREM/ OTHER/ INVESTMENT RELATED / 0%/ NAPERVILLE, IL 3. 07/01/2021 - SANDRA L CLOW IRREVOCABLE MARITAL TRUST/ OTHER/ INVESTMENT RELATED/12/5/2016/ 0%/ NAPERVILLE, IL 4. 01/01/1979 - TRUST OF P ISAACSON FBO FOGEL CHILDREN/ OTHER/ INVESTMENT RELATED/ 0%/ NAPERVILLE, IL 5. 01/01/1979 - TRUST OF P ISAACSON FBO MARION CHRISTENSEN/ OTHER/ INVESTMENT RELATED/ 0%/ NAPERVILLE, IL 6. 01/01/1979 - TRUST OF P ISAACSON FBO JOHNSON CHILDREN/ OTHER/ INVESTMENT RELATED/ 0%/ NAPERVILLE, IL 7. 12/26/2008 - EDWARD J WHALEN DESCENDENTS TRUST/ OTHER/ INVESTMENT RELATED/ 0%/ NAPERVILLE, IL 8. 12/30/2013 - GEORGE R. BOGDANOVIC 2013 IRREVOCABLE TRUST/ OTHER/ INVESTMENT RELATED/ 0%/ NAPERVILLE, IL 9. 07/01/2021 - SLUPIK & ASSOCIATES LTD/ TAX PREP/ACCOUNTING/CPA/ INVESTMENT RELATED/ 0%/ NAPERVILLE, IL 10. 04/29/2008 - RUSSEL J BESECKER JR TRUST UTA 04/29/08/ OTHER/ INVESTMENT RELATED/ 0%/ NAPERVILLE, IL 11. 04/29/2005 - REBECCA J BESECKER TR UTA 04/29/08/ OTHER/ INVESTMENT RELATED/ 0%/ NAPERVILLE, IL 12. 06/01/1987 - BUSINESS COMPUTER CONSULTANTS INC/ BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY/ NOT INVESTMENT RELATED/ 0%/ NAPERVILLE, IL 13. 07/01/2021 - MUELLER FINANCIAL SERVICES/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ NAPERVILLE, IL. 14. 07/01/2021 - MUELLER COMPANY LLP/ TAX PREP/ACCOUNTING/CPA/ INVESTMENT RELATED/ 5%/ NAPERVILLE, IL 15. 07/01/2021 - MUELLER FINANCIAL SERVICES/ NON-VARIABLE INSURANCE/ INVESTMENT RELATED/ 0%/ NAPERVILLE, IL 16. 8/3/2021 - IHT WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 7/1/2021 - 20 Hours Per Month During Securities Trading - I provide investment advisory services through IHT WEALTH MANAGEMENT, an independent investment advisor firm. I started this business activity in 7/2021. I expect to spend approximately 20 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. 17. 8/3/2021 - IHT WEALTH MANAGEMENT - DBA: (Hybrid) MUELLER FINANCIAL SERVICES - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 7/1/2021 - 20 Hours Per Month During Securities Trading.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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^®

BD

CRD#: 19949

STAMFORD, CT

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Investment Company Products/Variable Contracts Representative Examination

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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Firm Stability Insights

Theodore F. Slupik

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

HOCHMAN & BAKER SECURITIES, INC.

Primary Firm SEC Registration

IHT WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/30/1992

SIE

Date: 10/1/2018

Series 7

Date: 9/7/1993

Series 6

Date: 10/30/1992

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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