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100 Meridian Centre Blvd Suite 250, Rochester, NY 14618 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2026-02-05 |
| TX | RA | APPROVED_RES | 2026-02-04 |
| CA | RA | APPROVED | 2026-02-03 |
| MT | RA | APPROVED | 2026-02-03 |
Branch Locations
8605 E. Raintree Drive Suite# 280, Scottsdale, AZ 85260 • United States
100 Meridian Centre Blvd Suite 250, Rochester, NY 14618 • UNITED STATES
100 Meridian Centre Blvd Suite 250, Rochester, NY 14618 • United States
Hermosa Beach, CA • United States
8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2026-02-05 |
| TX | RA | APPROVED_RES | 2026-02-04 |
| CA | RA | APPROVED | 2026-02-03 |
| MT | RA | APPROVED | 2026-02-03 |
Branch Locations
Hermosa Beach, CA • United States
8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Beverly Hills | CA | 03/2008 | 12/2017 |
| Raymond James & Associates | Los Angeles | CA | 12/2017 | 02/2026 |
| Ashton Thomas Securities, Llc | Rochester | NY | 02/2026 | Present |
| Ashton Thomas Private Wealth, Llc | Scottsdale | AZ | 02/2026 | Present |
| Ashton Thomas Insurance Agency | Scottsdale | AZ | 02/2026 | Present |
1) ASHTON THOMAS INSURANCE AGENCY; INVESTMENT RELATED; SCOTTSDALE, AZ; INSURANCE SALES; INSURANCE AGENT; 02/2026; SALE OF INSURANCE 2) ASHTON THOMAS SECURITIES, LLC; INVESTMENT RELATED; ROCHESTER, NY; BROKER-DEALER/REGISTERED INVESTMENT ADVISER; REGISTERED REPRESENTATIVE/INVESTMENT ADVISER REPRESENTATIVE; 02/2026; SECURITIES SALES, FINANCIAL ADVISING/PLANNING 3) ASHTON THOMAS PRIVATE WEALTH; INVESTMENT RELATED; SCOTTSDALE, AZ; RIA; INVESTMENT ADVISOR REPRESENTATIVE; 02/2026; FINANCIAL ADVISING/PLANNING Dually registered with an affiliated broker-dealer, Ashton Thomas Securities and registered investment adviser, Ashton Thomas Private Wealth; activity conducted in the individual's capacity as a registered representative and investment adviser representative of the affiliated entities.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-05-19 |
| S63 | Uniform Securities Agent State Law Examination | 1990-08-24 |
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