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100 Meridian Centre Blvd Suite 250, Rochester, NY 14618 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NH | RA | APPROVED | 2026-01-16 |
| CT | RA | APPROVED | 2026-01-15 |
| CA | RA | APPROVED | 2026-01-14 |
| NJ | RA | APPROVED | 2026-01-14 |
| NY | RA | APPROVED | 2026-01-14 |
| MA | RA | APPROVED | 2024-01-18 |
| TX | RA | APPROVED_RES | 2024-01-12 |
Branch Locations
100 Meridian Centre Blvd Suite 250, Rochester, NY 14618 • UNITED STATES
100 Meridian Centre Blvd Suite 250, Rochester, NY 14618 • United States
53 State Street, Suite 1301, Boston, MA 02109 • United States
8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2024-01-18 |
| TX | RA | APPROVED_RES | 2024-01-12 |
Branch Locations
8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260 • United States
53 State Street Suite 1301, Boston, MA 02109 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Deutsche Bank Securities | Boston | MA | 09/2005 | 09/2016 |
| Raymond James & Associates, Inc. | Boston | MA | 09/2016 | 01/2024 |
| Excel Securities & Associates, Inc. | Boston | MA | 01/2024 | Present |
| Excel Securities & Associates, Inc. | Boston | MA | 01/2024 | Present |
| Ashton Thomas Private Wealth, Llc | Boston | MA | 01/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-10-12 |
| S63 | Uniform Securities Agent State Law Examination | 1991-10-31 |
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