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Aileen F Defroda

Ashton Thomas Securities, LLC

Wilmington, DE

Rochester, NY

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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 2024-10-23
DE RA APPROVED 2024-10-21
NY RA APPROVED 2024-10-21
  • AZ RA
    APPROVED
    Since 2024-10-23
  • DE RA
    APPROVED
    Since 2024-10-21
  • NY RA
    APPROVED
    Since 2024-10-21

Branch Locations

Wilmington, DE • United States

100 Meridian Centre Blvd Suite 250, Rochester, NY 14618 • 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
Capital One Investing Llc Wilmington DE 12/2015 08/2018
Realta Equities, Inc. Wilmington DE 08/2018 09/2024
Realta Investment Advisors, Inc. Wilmington DE 08/2018 09/2024
Ashton Thomas Securities, Llc Rochester NY 09/2024 Present
Previous Registrations
  • 2018-08-13 → 2024-10-02
    Realta Investment Advisors, Inc
    Wilmington, DE
  • 2015-12-15 → 2018-08-09
    Capital One Advisors, Llc
    Wilmington, DE
    Mclean, VA
  • 2015-01-05 → 2015-12-09
    Commonwealth Financial Network
    Wilmington, DE
    Hockessin, DE
    Wilmington, DE
    Hockessin, DE
  • 2009-03-30 → 2015-01-06
    Invest Financial Corporation
    Greenville, DE
    Selbyville, DE
    Hockessin, DE
    Greenville, DE
    Newtown Square, PA
    Media, PA
    West Chester, PA
    Wilmington, DE
    Wilmington, DE
    Wilmington, DE
    Wilmington, DE
    Millsboro, DE
    Lewes, DE
    Millsboro, DE
    Ocean View, DE
    Oxford, PA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-03-27
S63 Uniform Securities Agent State Law Examination 2007-11-02
  • S65 Uniform Investment Adviser Law Examination
    2009-03-27
  • S63 Uniform Securities Agent State Law Examination
    2007-11-02
Other Names
  • Aileen Fern Dimmer
  • Aileen Fern Defroda

View on SEC IAPD

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