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Current Employers
Ashton Thomas Private Wealth

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2026-06-01
  • AZ RA
    APPROVED
    Since 2026-06-01

Branch Locations

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

Ashton Thomas Securities, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-10-22
AZ RA APPROVED 2024-10-15
  • NY RA
    APPROVED
    Since 2024-10-22
  • AZ RA
    APPROVED
    Since 2024-10-15

Branch Locations

100 Meridian Centre Blvd Suite 250, Rochester, NY 14618 • UNITED STATES

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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab & Co.,Inc Phoenix AZ 10/2012 02/2024
Intrepid Financial Services, Llc Chandler AZ 09/2005 Present
Ashton Thomas Securities, Llc Rochester NY 10/2024 Present
Ashton Thomas Private Wealth, Llc Scottsdale AZ 04/2024 Present
  • 10/2012 → 02/2024
    Charles Schwab & Co.,Inc
    Phoenix, AZ
  • 09/2005 → Present
    Intrepid Financial Services, Llc
    Chandler, AZ
  • 10/2024 → Present
    Rochester, NY
  • 04/2024 → Present
    Ashton Thomas Private Wealth, Llc
    Scottsdale, AZ
Previous Registrations
  • 2012-10-31 → 2024-02-09
    Phoenix, AZ
  • 2007-04-03 → 2012-10-01
    Osaic Services, Inc.
    Mesa, AZ
    Tempe, AZ
Other Businesses

1) Intrepid Financial Services, LLC; Investment-Related; Chandler, AZ; Owner/Manager/Member; 09/2025; 0 Hours Spent During Market Hours 2) ASHTON THOMAS SECURITIES, LLC; INVESTMENT RELATED; ROCHESTER, NY; BROKER-DEALER/REGISTERED INVESTMENT ADVISER; DIRECTOR OF SUPERVISION; 10/2024 3) ASHTON THOMAS PRIVATE WEALTH; INVESTMENT RELATED; SCOTTSDALE, AZ; RIA; DIRECTOR OF SUPERVISION; 04/2024 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
S66 Uniform Combined State Law Examination 2007-03-19
S63 Uniform Securities Agent State Law Examination 1998-09-28
  • S66 Uniform Combined State Law Examination
    2007-03-19
  • S63 Uniform Securities Agent State Law Examination
    1998-09-28

View on SEC IAPD

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