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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 2024-11-25
NY RA APPROVED 2024-11-05
PA RA APPROVED 2024-11-05
  • AZ RA
    APPROVED
    Since 2024-11-25
  • NY RA
    APPROVED
    Since 2024-11-05
  • PA RA
    APPROVED
    Since 2024-11-05

Branch Locations

Dillsburg, PA • United States

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

Ashton Thomas Private Wealth

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2024-11-25
NY RA APPROVED 2024-11-05
  • AZ RA
    APPROVED
    Since 2024-11-25
  • NY RA
    APPROVED
    Since 2024-11-05

Branch Locations

Dillsburg, PA • 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
Realta Investment Advisors, Inc. Wilmington DE 03/2009 10/2024
Realta Equities, Inc. Wilmington DE 02/2014 10/2024
Ashton Thomas Securities, Llc Rochester NY 10/2024 Present
Coastal Insurance Services Wilmington DE 03/2010 05/2025
Previous Registrations
Other Businesses

1. ASHTON THOMAS PRIVATE WEALTH, LLC; YES, INVESTMENT RELATED; 8605 E RAINTREE DRIVE, SUITE 280, SCOTTSDALE, AZ 85260; INVESTMENT ADVISORY SERVICES; DUE DILIGENCE MANAGER; 10/29/2024; 40 HOURS/WEEK. 2. NORTHERN YORK FOOTBALL & CHEER. START DATE: 12/21/2017. NATURE: YOUTH FOOTBALL ORGANIZATION. WEBSITE: WWW.NYFCPOLARBEARS.ORG. POSITION: BOARD MEMBER. HOURS PER WEEK: 1, NOT DURING TRADING HOURS. 3. THE YARD DILLSBURG, LLC; 220 S 2ND STREET, STE B, DILLSBURG, PA 17019; BASEBALL AND SOFTBALL TRAINING FACILITY; WWW.THEYARDDILLSBURG.COM; CO-OWNER/OPERATOR; INCOME FROM OPERATIONS; INVESTMENT OF $22,000 IN UP FRONT COSTS; 21 HOURS PER WEEK DURING NON-TRADING HOURS.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2014-06-06
S65 Uniform Investment Adviser Law Examination 2010-02-01
  • S63 Uniform Securities Agent State Law Examination
    2014-06-06
  • S65 Uniform Investment Adviser Law Examination
    2010-02-01

View on SEC IAPD

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