Waldo Julio Zayas | Financial Professional | Tampa, Florida | IHT WEALTH MANAGEMENT LLC

Professional summary

Waldo Julio Zayas, who also goes by Waldo Julio Zayar, is a registered financial advisor currently at IHT WEALTH MANAGEMENT LLC located in Tampa, Florida and LPL FINANCIAL LLC located in Tampa, Florida.

Waldo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Waldo has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Waldo Julio Zayar

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. 7/26/2012 - Zayas Financial, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 2/27/2019 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 02/26/2019 - 5 Hours Per Month/0 Hours During Securities Trading - Offering Fixed annuities through various insurance carriers. 3. 3/6/2019 - IHT Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 01/23/2019 - 160 Hours Per Month/7 Hours During Securities Trading - I provide investment advisory services through IHT Wealth Management, an independent investment advisor firm. I started this business activity in 01/23/2019. I expect to spend approximately 160 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. 4. 3/25/2021 - DWF Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/16/2021 - 160 Hours Per Month/8 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Waldo Julio Zayas'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, 2019 - Present

IHT WEALTH MANAGEMENT LLC

Office #1: 3030 N Rocky Point Dr. West Suite 700, Tampa, FL 33607

RIA

CRD#: 171481

Tampa, FL

Current

July 12, 2012 - Present

LPL FINANCIAL LLC

Office #1: 401 East Jackson St Ste 3675, Tampa, FL 33602

RIA

BD

CRD#: 6413

Tampa, FL

Past

July 20, 2012 - January 24, 2019

INDEPENDENT FINANCIAL PARTNERS

RIA

CRD#: 125112

TAMPA, FL

Past

September 18, 2007 - July 19, 2012

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

TAMPA, FL

Past

June 14, 2007 - July 19, 2012

VALIC FINANCIAL ADVISORS, INC.

BD

CRD#: 42803

TAMPA, FL

Past

April 3, 2007 - June 5, 2007

WELLS FARGO CLEARING SERVICES, LLC

BD

CRD#: 19616

MIAMI BEACH, FL

Past

November 30, 2004 - September 8, 2005

ALLSTATE FINANCIAL SERVICES, LLC

BD

CRD#: 18272

LINCOLN, NE

Past

November 10, 2003 - December 17, 2004

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

MIAMI, FL

Past

August 13, 2002 - December 17, 2004

SIGNATOR INVESTORS, INC.

BD

CRD#: 468

BOSTON, MA

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

Arkansas
(9/3/2014)

RR

California
(7/12/2012)

RR

Florida
(7/12/2012)

IAR

Florida
(2/4/2019)

RR

Georgia
(3/29/2017)

RR

Maryland
(8/29/2012)

RR

Missouri
(8/10/2016)

RR

Utah
(11/4/2021)

RR

Virginia
(2/23/2018)

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: 9/13/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 9/30/2003

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 7

Date: 1/18/2017

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 8/12/2002

Investment Company Products/Variable Contracts 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

Waldo J. Zayas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Waldo Julio Zayas's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

INDEPENDENT FINANCIAL PARTNERS

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

WELLS FARGO CLEARING SERVICES, LLC

ALLSTATE FINANCIAL SERVICES, LLC

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

IHT WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/13/2007

Series 63

Date: 9/30/2003

SIE

Date: 10/1/2018

Series 7

Date: 1/18/2017

Series 6

Date: 8/12/2002

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

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