Thomas A. Cavaliere III | Financial Professional | Overland Park, Kansas

Professional summary

Thomas A. Cavaliere III, who also goes by Thomas Aquinas Cavaliere III, Tom Cavaliere, Tommy Cavaliere, is a registered financial advisor currently at IHT WEALTH MANAGEMENT LLC located in Overland Park, Kansas and LPL FINANCIAL LLC located in Leawood, Kansas.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Thomas has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Aquinas Cavaliere Iii | Tom Cavaliere | Tommy Cavaliere

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) 12/14/2012: NO BUSINESS NAME - Investment Related - Act in a Fiduciary Capacity - TIME SPENT 1% - TRUSTEE OF MY TRUST AND WIFE'S TRUST. 2) 2/10/2017: Tall Oaks Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start 03/01/2017 - 140 Hours Per Month During Securities Trading. 3) 12/20/2017 - IHT Wealth Management LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 09/12/2017 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through IHT Wealth Management LLC, an independent investment advisor firm. I started this business activity in December 2017. 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. 4) 12/20/2017 - IHT Wealth Management LLC - DBA: (Hybrid) Tall Oaks Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 09/12/2017 - I provide investment advisory services through IHT Wealth Management LLC, an independent investment advisor firm. I started this business activity in December 2017. 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. 5) 08/31/2023 - Vandbridge Wholesale Insurance - Non-Variable Insurance - Financial Advisor - Investment Related - At Reported Business Location(s) - Start Date 09/20/2018 - 4 Hours Per Month/ 4 Hours During Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas A. Cavaliere III'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

October 13, 2017 - Present

IHT WEALTH MANAGEMENT LLC

Office #1: 7211 West 98th Terrace Suite 140, Overland Park, KS 66212

RIA

CRD#: 171481

Overland Park, KS

Current

December 14, 2012 - Present

LPL FINANCIAL LLC

Office #1: 5251 W 116th Pl Sute 200, Leawood, KS 66211

RIA

BD

CRD#: 6413

Leawood, KS

Past

August 1, 2014 - December 31, 2017

NVISION WEALTH GROUP, LLC

RIA

CRD#: 171952

OVERLAND PARK, KS

Past

December 17, 2012 - October 23, 2014

PRIVATE ADVISOR GROUP, LLC

RIA

CRD#: 155216

OVERLAND PARK, KS

Past

October 16, 2001 - December 21, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

LEAWOOD, KS

Past

September 18, 2001 - July 3, 2006

IDS LIFE INSURANCE COMPANY

BD

CRD#: 6321

MINNEAPOLIS, MN

Past

September 18, 2001 - December 21, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

BD

CRD#: 6363

LEAWOOD, KS

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
(1/12/2024)

RR

California
(11/29/2022)

RR

Colorado
(1/4/2013)

RR

Florida
(1/4/2013)

RR

Kansas
(12/14/2012)

IAR

Kansas
(10/13/2017)

RR

Louisiana
(1/4/2013)

RR

Massachusetts
(8/21/2023)

RR

Missouri
(1/4/2013)

RR

Pennsylvania
(1/4/2013)

RR

Texas
(1/8/2013)

RR

Virginia
(11/29/2022)

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: 10/12/2001

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 7

Date: 9/17/2001

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

Thomas A. Cavaliere

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas A. Cavaliere III's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

NVISION WEALTH GROUP, LLC

PRIVATE ADVISOR GROUP, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

IHT WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/12/2001

SIE

Date: 10/1/2018

Series 7

Date: 9/17/2001

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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