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Ashton Thomas Securities, LLC CRD 16629
$1.86B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
100 Meridian Centre Blvd Suite 250, Rochester, NY 14618 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-12 |
Branch Locations
100 Meridian Centre Blvd Suite 250, Rochester, NY 14618 • United States
100 Meridian Centre Blvd Suite 250, Rochester, NY 14618 • UNITED STATES
12155 Riverside Drive, Valley Village, CA 91607 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-12 |
| CA | RA | APPROVED | 2001-08-20 |
Branch Locations
100 Meridian Centre Blvd Suite 250, Rochester, NY 14618 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Marello Investment Advisors, Inc. | Los Angeles | CA | 10/1999 | Present |
| Ashton Thomas Securities, Llc Fka Excel Securities & Assoc, Inc. | Rochester | NY | 01/2004 | Present |
Registered Representative of Ashton Thomas Securities, LLC (fka Excel Securities & Associates, Inc.) since 2004. Investment Related. 100 Meridian Centre Blvd. #250, Rochester, NY 14618, Hours/month: 72. Income is derived from this business. Life Insurance Agent (various agencies) since 1998 - Fixed Life Insurance/ Annuity Sales. NON Investment Related. 100 Meridian Centre Blvd. #250, Rochester, NY 14618, Hours/month: 1. Income is derived from this business.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 1999-12-29 |
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