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RIA / WealthAdvisordual registered (broker-dealer)47 years in industry

JOHN JOSEPH SPAETH

Advisor at INTEGRATED WEALTH CONCEPTS LLC

Fort Meyers, FL

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Search this name across graphsid dfx:ria:2860cdb3-c0fa-533a-4a0a-d9fddb380898

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 14, 1998 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: INTEGRATED WEALTH CONCEPTS LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 19, 1979earliest registration or exam on IAPD
Years in industry: 47derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Jul 19, 1979
First registration: Feb 14, 1998
Dual registered: yes, broker-dealer
IAPD individual key: 431222

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
INTEGRATED WEALTH CONCEPTS LLC	Independent wealth	Aug 10, 2021	n/a	yes	Fort Meyers, FL	Current employment
LEVEL FOUR ADVISORY SERVICES	Bd affiliated wealth	Jan 8, 2014	Aug 10, 2021	no	NAPERVILLE, IL\|DALLAS, TX\|Fort Myers, FL	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jan 13, 2012	no	OAKBROOK TERRACE, IL\|Fort Myers, FL\|Barrington, IL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 14, 2004	Jun 1, 2009	no	OAKBROOK TERRACE, IL\|OAKBROOK TERRACE, IL	Previous registration
MORGAN STANLEY DW INC.	n/a	Feb 14, 1998	May 18, 2004	no	OAK BROOK, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LEVEL FOUR ADVISORY SERVICES	INTEGRATED WEALTH CONCEPTS LLC	Aug 10, 2021	Aug 10, 2021	0	Firm change	Ibd to RIA
MORGAN STANLEY	LEVEL FOUR ADVISORY SERVICES	Jan 13, 2012	Jan 8, 2014	726	Firm change after gap	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	CITIGROUP GLOBAL MARKETS INC.	May 18, 2004	May 14, 2004	-4	Firm change	Other

Relationships

Registered with (5)

→ INTEGRATED WEALTH CONCEPTS LLCRegistered adviserregistration: current employment
Aug 10, 2021 to presentfactForm ADV
→ LEVEL FOUR ADVISORY SERVICESRegistered adviserregistration: previous registration
Jan 8, 2014 to Aug 10, 2021factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jan 13, 2012factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 14, 2004 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Feb 14, 1998 to May 18, 2004factForm ADV

Dated events

No dated event names this entity yet.