Scott Josef Staley, CFP | Financial Professional | Queen Creek, Arizona

Professional summary

Scott Josef Staley, CFP® is a registered financial advisor currently at IHT WEALTH MANAGEMENT LLC located in Queen Creek, Arizona and LPL FINANCIAL LLC located in Fenton, Michigan.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Scott has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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. 7/7/2014: DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - IHT WEALTH MANAGEMENT - CHICAGO, IL. 2. 7/22/2014: REGISTERED INVESTMENT ADVISOR HYBRID - IHT WEALTH MANAGEMENT LLC - TIME SPENT 90% - CHICAGO, IL.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Josef Staley'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®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

July 1, 2014 - Present

IHT WEALTH MANAGEMENT LLC

RIA

CRD#: 171481

QUEEN CREEK, AZ

Current

June 27, 2014 - Present

LPL FINANCIAL LLC

Office #1: 3271 W Silver Lake Rd, Ste 8, Fenton, MI 48430Office #2: 123 N Wacker Dr Ste 2300, Chicago, IL 60606

RIA

BD

CRD#: 6413

Fenton, MI

Past

October 23, 2009 - June 30, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHICAGO, IL

Past

October 23, 2009 - June 30, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD

CRD#: 7691

CHICAGO, IL

Past

October 24, 2008 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SKOKIE, IL

Past

October 24, 2008 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD

CRD#: 16361

SKOKIE, IL

Past

November 24, 2003 - October 24, 2008

LASALLE FINANCIAL SERVICES, INC.

RIA

CRD#: 20373

SKOKIE, IL

Past

October 2, 2003 - October 24, 2008

LASALLE FINANCIAL SERVICES, INC.

BD

CRD#: 20373

SKOKIE, IL

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
(6/27/2014)

IAR

Arizona
(1/26/2022)

RR

Arkansas
(8/11/2016)

RR

California
(6/27/2014)

RR

Colorado
(9/15/2025)

RR

Florida
(6/27/2014)

RR

Georgia
(1/9/2020)

RR

Illinois
(6/27/2014)

IAR

Illinois
(7/1/2014)

RR

Indiana
(6/27/2014)

RR

Iowa
(6/27/2014)

RR

Kansas
(11/4/2022)

RR

Michigan
(5/13/2015)

IAR

Michigan
(7/25/2016)

RR

Montana
(11/28/2022)

RR

New York
(6/27/2014)

RR

Oregon
(6/27/2014)

RR

Pennsylvania
(7/13/2016)

RR

South Carolina
(5/2/2025)

RR

Wisconsin
(7/7/2014)

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: 11/21/2003

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: 10/1/2003

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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Advisor Monitoring

Firm Stability Insights

Scott J. Staley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Josef Staley's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

LASALLE FINANCIAL SERVICES, INC.

LASALLE FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

IHT WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/21/2003

SIE

Date: 10/1/2018

Series 7

Date: 10/1/2003

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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