FD
Francisco X. Diaz
IHT WEALTH MANAGEMENT LLC
Tampa, FL 33602
Some features on this profile are disabled
CRD#: 4276577
FD
Professional summary
Francisco Xavier Diaz, who also goes by Frank Diaz, is a registered financial advisor currently at IHT WEALTH MANAGEMENT LLC located in Tampa, Florida and LPL FINANCIAL LLC located in Tampa, Florida.
Francisco is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Francisco 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
Frank Diaz
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) 08/06/2012: Francisco X. Diaz Financial Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). (2) 08/26/2013: Bankers Life Insurance Company - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - No Time Spent - Direct business with Bankers Life Insurance Company to provide fixed annuities to clients. (3) 2/19/2019 - IHT Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 02/13/2019 - 80 Hours Per Month/80 Hours During Securities Trading. (4) 3/1/2019 - IHT Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Start Date: 02/13/2019 - 80 Hours Per Month/80 Hours During Securities Trading - I provide investment advisory services through IHT Wealth Management, an independent investment advisor firm. I started this business activity in 02/13/2019. I expect to spend approximately 80 hours per month on this activity. Please see the Form ADV of the advisory firm 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. (5) 7/12/2021 - DWF Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 07/01/2021 - 4 Hours Per Month/0 Hours During Securities Trading. (6) 10/25/2022 - DWF Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 11/01/2022 - 1 Hour Per Month/1 Hour During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Francisco Xavier Diaz's 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®
NoneExperience
Current
February 14, 2019 - Present
IHT WEALTH MANAGEMENT LLC
Office #1: 401 E. Jackson Street Suite 3675, Tampa, FL 33602RIA
CRD#: 171481
Tampa, FL
Current
July 16, 2012 - Present
LPL FINANCIAL LLC
Office #1: 401 East Jackson St Ste 3675, Tampa, FL 33602RIA
BD
CRD#: 6413
Tampa, FL
Past
September 5, 2012 - February 28, 2019
INDEPENDENT FINANCIAL PARTNERS
RIA
CRD#: 125112
TAMPA, FL
Past
December 20, 2001 - July 19, 2012
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
TAMPA, FL
Past
December 20, 2001 - January 16, 2002
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
Past
December 20, 2001 - July 19, 2012
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
HOUSTON, TX
Past
November 10, 2000 - December 7, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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
+RINGENBERG FINANCIAL GROUP | W INVESTMENTS | VENICE WEALTH PARTNERS, LLC | THRIVE LIFE 360 | THE NESSIM GROUP | TALL OAKS ADVISORS, LLC | SW ADVISERS | SUCCESS WEALTH MANAGEMENT | STONEBRIAR WEALTH MANAGEMENT | STILLWATER FINANCIAL PLANNING | STEVENS3 FINANCIAL SERVICES, LLC | SJD PARTNERS LLC | SHARD FINANCIAL SERVICES, INC. | SEWELL WEALTH MANAGEMENT | RPR FINANCIAL | ROCKY MOUNTAIN WEALTH MANAGEMENT | RIVERSTONE WEALTH MANAGEMENT | RINGENBERG FINANCIAL GROUP | RB WEALTH PARTNERS | PROVIDENT WEALTH MANAGEMENT | PRB WEALTH MANAGEMENT | PLAN WEALH CREATIVE | PINNACLE WEALTH MANAGEMENT | PEARLVEST CAPITAL LLC | NVISION WEALTH PARTNERS, LLC | NVISION WEALTH | NVISION 401(K) PLAN ADVISORS | MUELLER WEALTH GROUP LLC | MILESTONE FINANCIAL SERVICES | LPG FINANCIAL, LLC | LPG FINANCIAL | LIGHTHOUSE FINANCIAL GROUP | KONZA WEALTH ADVISORS | KMG WEALTH MANAGEMENT | KEYSTONE FINANCIAL STRATEGIES | KEITH WILLIAMS FINANCIAL SERVICES | JLS WEALTH MANAGEMENT | JEFF K. ROSS FINANCIAL | J. DAVID BARKLEY & ASSOCIATES | IRELAND WEALTH MANAGEMENT AND FINANCIAL PLANNING | IHT WEALTH MANAGEMENT LLC | HARBOR WEALTH | GREEN STONE BELT WEALTH ADVISORS, LLC | GRATITUDE WEALTH MANAGEMENT | GONGOLA FINANCIAL | EQUITY WEALTH MANAGEMENT | ECLIPSE PRIVATE WEALTH MANAGEMENT | DWF WEALTH MANAGEMENT | DEWITT WEALTH ADVISORS | CMD WEALTH PARTNERS | CHRISTOPHER R. STEIN COMPREHENSIVE WEALTH MANAGEMENT, INC. | CARRERA FINANCIAL | BRIDGE BENEFITS GROUP | BOARDWALK WEALTH SOLUTIONS | BAY AREA WEALTH MANAGEMENT | A&C MANAGEMENT GROUP
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)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(11/16/2017)
RR
Florida(7/16/2012)
IAR
Florida(2/14/2019)
RR
Indiana(1/11/2021)
RR
Michigan(3/26/2025)
RR
North Carolina(6/5/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IW
IHT WEALTH MANAGEMENT LLC
+RINGENBERG FINANCIAL GROUP | W INVESTMENTS | VENICE WEALTH PARTNERS, LLC | THRIVE LIFE 360 | THE NESSIM GROUP | TALL OAKS ADVISORS, LLC | SW ADVISERS | SUCCESS WEALTH MANAGEMENT | STONEBRIAR WEALTH MANAGEMENT | STILLWATER FINANCIAL PLANNING | STEVENS3 FINANCIAL SERVICES, LLC | SJD PARTNERS LLC | SHARD FINANCIAL SERVICES, INC. | SEWELL WEALTH MANAGEMENT | RPR FINANCIAL | ROCKY MOUNTAIN WEALTH MANAGEMENT | RIVERSTONE WEALTH MANAGEMENT | RINGENBERG FINANCIAL GROUP | RB WEALTH PARTNERS | PROVIDENT WEALTH MANAGEMENT | PRB WEALTH MANAGEMENT | PLAN WEALH CREATIVE | PINNACLE WEALTH MANAGEMENT | PEARLVEST CAPITAL LLC | NVISION WEALTH PARTNERS, LLC | NVISION WEALTH | NVISION 401(K) PLAN ADVISORS | MUELLER WEALTH GROUP LLC | MILESTONE FINANCIAL SERVICES | LPG FINANCIAL, LLC | LPG FINANCIAL | LIGHTHOUSE FINANCIAL GROUP | KONZA WEALTH ADVISORS | KMG WEALTH MANAGEMENT | KEYSTONE FINANCIAL STRATEGIES | KEITH WILLIAMS FINANCIAL SERVICES | JLS WEALTH MANAGEMENT | JEFF K. ROSS FINANCIAL | J. DAVID BARKLEY & ASSOCIATES | IRELAND WEALTH MANAGEMENT AND FINANCIAL PLANNING | IHT WEALTH MANAGEMENT LLC | HARBOR WEALTH | GREEN STONE BELT WEALTH ADVISORS, LLC | GRATITUDE WEALTH MANAGEMENT | GONGOLA FINANCIAL | EQUITY WEALTH MANAGEMENT | ECLIPSE PRIVATE WEALTH MANAGEMENT | DWF WEALTH MANAGEMENT | DEWITT WEALTH ADVISORS | CMD WEALTH PARTNERS | CHRISTOPHER R. STEIN COMPREHENSIVE WEALTH MANAGEMENT, INC. | CARRERA FINANCIAL | BRIDGE BENEFITS GROUP | BOARDWALK WEALTH SOLUTIONS | BAY AREA WEALTH MANAGEMENT | A&C MANAGEMENT GROUP
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)Upgrade to AdvisorCheck Premium
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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
Regulatory assets under management
| Total Number of Accounts | 23,131 |
| AUM (Assets Under Management) | $ 6,376,084,483 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
IHT WEALTH MANAGEMENT LLC
CRD#: 171481Tampa, FL 33602TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
