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Current Employers
Ashton Thomas Securities, Llc

100 Meridian Centre Blvd Suite 250, Rochester, NY 14618 • United States

Current Registrations

AuthorityCategoryStatusDate
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
  • AZ RA
    APPROVED
    Since 2026-02-05
  • TX RA
    APPROVED_RES
    Since 2026-02-04
  • CA RA
    APPROVED
    Since 2026-02-03
  • MT RA
    APPROVED
    Since 2026-02-03

Branch Locations

8605 E. Raintree Drive Suite# 280, Scottsdale, AZ 85260 • United States

Lakeside, MT • 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

Ashton Thomas Private Wealth

8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260 • United States

Current Registrations

AuthorityCategoryStatusDate
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
  • AZ RA
    APPROVED
    Since 2026-02-05
  • TX RA
    APPROVED_RES
    Since 2026-02-04
  • CA RA
    APPROVED
    Since 2026-02-03
  • MT RA
    APPROVED
    Since 2026-02-03

Branch Locations

Hermosa Beach, CA • United States

8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260 • United States

Lakeside, MT • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
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
  • 03/2008 → 12/2017
    Rbc Capital Markets Corporation
    Beverly Hills, CA
  • 12/2017 → 02/2026
    Raymond James & Associates
    Los Angeles, CA
  • 02/2026 → Present
    Rochester, NY
  • 02/2026 → Present
    Ashton Thomas Private Wealth, Llc
    Scottsdale, AZ
  • 02/2026 → Present
    Ashton Thomas Insurance Agency
    Scottsdale, AZ
Previous Registrations
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-05-19
S63 Uniform Securities Agent State Law Examination 1990-08-24
  • S65 Uniform Investment Adviser Law Examination
    1997-05-19
  • S63 Uniform Securities Agent State Law Examination
    1990-08-24
Other Names
  • Collin Larry Rigerl

View on SEC IAPD

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