AH
Alex W. Helms
IHT WEALTH MANAGEMENT LLC
ELGIN, IL 60123
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CRD#: 6579380
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Professional summary
Alex William Helms, who also goes by Alex William Helms, Alex Helms, is a registered financial advisor currently at IHT WEALTH MANAGEMENT LLC located in Elgin, Illinois and LPL FINANCIAL LLC located in Oak Brook, Illinois.
Alex is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Alex has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alex William Helms | Alex Helms
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. 2/9/2021 - MUELLER FINANCIAL SERVICES - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Started 02/01/2021 - 5 Hours Per Month/1 Hour During Securities Trading. 2. 2/19/2021 - IHT Wealth Management LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 02/01/2021 - 200 Hours Per Month/7.5 Hours During Securities Trading - I provide investment advisory services through IHT Wealth Management LLC, an independent investment advisor firm. I started this business activity in 02/2021. I expect to spend approximately 200 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. 3. 03/25/2025 - Mueller Wealth - Investment related - DBA for LPL Business (entity for LPL business) - Suite 200 Elgin, IL 60123 - Started 03/19/2025 - 300 Hours Per Month/ 150 Hours During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view Alex William Helms'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 12, 2021 - Present
IHT WEALTH MANAGEMENT LLC
Office #1: 1707 N Randall Rd Suite 200, Elgin, IL 60123RIA
CRD#: 171481
ELGIN, IL
Current
February 1, 2021 - Present
LPL FINANCIAL LLC
Office #1: 1415 W. 22nd St, Ste 610e, Oak Brook, IL 60523RIA
BD
CRD#: 6413
OAK BROOK, IL
Past
July 9, 2019 - November 10, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
OAK BROOK, IL
Past
July 9, 2019 - November 10, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
OAK BROOK, IL
Past
May 13, 2019 - June 26, 2019
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
WILMETTE, IL
Past
May 13, 2019 - June 26, 2019
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
WILMETTE, IL
Past
November 19, 2018 - April 22, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
Chicago, IL
Past
November 14, 2018 - April 22, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
Chicago, IL
Past
July 13, 2018 - October 10, 2018
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
BOSTON, MA
Past
October 25, 2017 - July 13, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
NAPERVILLE, IL
Past
April 20, 2016 - September 26, 2018
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
NAPERVILLE, 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
+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
Idaho(9/14/2021)
RR
Illinois(2/1/2021)
IAR
Illinois(2/12/2021)
RR
Minnesota(9/21/2023)
RR
Missouri(9/21/2023)
RR
Texas(5/23/2024)
RR
Washington(7/6/2021)
Exams
State Security Law Exam
State Security Law 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
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.
