John L Sullivan IV | Financial Professional | Winter Haven, Florida

Professional summary

John L Sullivan IV, who also goes by John Lawrence Sullivan IV, John L Sullivan Iv Iv, is a registered financial advisor currently at IHT WEALTH MANAGEMENT LLC located in Winter Haven, Florida and LPL FINANCIAL LLC located in Winter Haven, Florida.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. John has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Lawrence Sullivan Iv | John L Sullivan Iv Iv

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. 3/18/2013 - JLS Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 3/27/2013 - JLS Wealth Management - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 5% - Selling non-variable insurance through various carriers to clients. 3. 3/4/2019 - IHT Wealth Management LLC - DBA: (Hybrid) IHT Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 02/25/2019 - 80 Hours Per Month/20 Hours During Securities Trading - I provide investment advisory services through IHT Wealth Management, an independent investment advisor firm. I started this business activity in 02/2019. I expect to spend approximately 80 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. 4. 3/4/2019 - Nassau RE - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 03/01/2019 - 5 Hours Per Month/5 Hours During Securities Trading. 5. 4/17/2019 - Trumark Financial - Investment Related - 6685 Owens Drive, Pleasanton, CA 94588 - Non-Variable Insurance - Agent - Started 04/12/2019 - 10 Hours Per Month/5 Hours During Securities Trading - Selling and servicing existing life insurance policies. 6. 10/17/2022 - Sullivan Private Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 09/26/2022 - 5 Hours Per Month/5 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John L Sullivan IV'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

January 25, 2019 - Present

IHT WEALTH MANAGEMENT LLC

Office #1: 46 4th St Sw, Winter Haven, FL 33880Office #2: 20719 Sterlington Dr., Land O Lakes, FL 34638

RIA

CRD#: 171481

Winter Haven, FL

Current

February 19, 2010 - Present

LPL FINANCIAL LLC

Office #1: 46 4th Street Sw, Winter Haven, FL 33880

RIA

BD

CRD#: 6413

Winter Haven, FL

Past

March 8, 2010 - December 26, 2018

INDEPENDENT FINANCIAL PARTNERS

RIA

CRD#: 125112

Tampa, FL

Past

June 1, 2009 - February 25, 2010

MORGAN STANLEY

RIA

CRD#: 149777

TAMPA, FL

Past

June 1, 2009 - February 25, 2010

MORGAN STANLEY

BD

CRD#: 149777

TAMPA, FL

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

TAMPA, FL

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD

CRD#: 8209

TAMPA, FL

Past

July 27, 2000 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

TAMPA, FL

Past

July 26, 2000 - April 2, 2007

MORGAN STANLEY DW INC.

BD

CRD#: 7556

TAMPA, FL

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
(7/9/2016)

RR

California
(3/20/2019)

RR

Colorado
(12/10/2018)

RR

Connecticut
(12/10/2018)

RR

Florida
(2/19/2010)

IAR

Florida
(1/25/2019)

RR

Georgia
(1/12/2017)

RR

Hawaii
(12/10/2018)

RR

Illinois
(4/25/2019)

RR

Indiana
(12/26/2019)

RR

Kansas
(12/10/2018)

RR

Kentucky
(9/21/2022)

RR

Maine
(8/24/2023)

RR

Massachusetts
(10/17/2018)

RR

Michigan
(8/18/2016)

RR

Minnesota
(12/10/2018)

RR

Mississippi
(1/5/2021)

RR

Missouri
(2/23/2021)

RR

Montana
(3/25/2021)

RR

Nevada
(12/10/2018)

RR

New Hampshire
(8/14/2020)

RR

New Jersey
(4/8/2019)

RR

New York
(12/10/2018)

RR

North Carolina
(2/19/2010)

RR

Ohio
(1/7/2014)

RR

Oregon
(4/25/2019)

RR

Pennsylvania
(12/10/2018)

RR

South Carolina
(4/11/2013)

RR

Tennessee
(1/27/2021)

RR

Texas
(4/8/2019)

RR

Utah
(2/23/2021)

RR

Virginia
(5/25/2010)

RR

Washington
(12/10/2018)

RR

Wisconsin
(4/25/2019)

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

RR

IAR

Series 66

Date: 8/9/2000

Uniform Combined 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: 8/16/2000

Futures Managed Funds Examination

General Industry/Product Exam

RR

Series 7

Date: 7/25/2000

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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Firm Stability Insights

John L. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John L Sullivan IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

INDEPENDENT FINANCIAL PARTNERS

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

IHT WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/9/2000

SIE

Date: 10/1/2018

Series 31

Date: 8/16/2000

Series 7

Date: 7/25/2000

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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