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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 2026-02-04
CA RA APPROVED 2026-02-03
  • AZ RA
    APPROVED
    Since 2026-02-04
  • CA RA
    APPROVED
    Since 2026-02-03

Branch Locations

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

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

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

Phoenix, AZ • United States

Ashton Thomas Private Wealth

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2026-02-04
CA RA APPROVED 2026-02-03
  • AZ RA
    APPROVED
    Since 2026-02-04
  • CA RA
    APPROVED
    Since 2026-02-03

Branch Locations

Phoenix, AZ • United States

8605 East 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
Arizona State University Tempe AZ 09/2014 12/2016
Rbc Capital Markets, Llc El Segundo CA 07/2015 12/2017
Raymond James & Associates Los Angelos CA 12/2017 02/2026
Ashton Thomas Securities, Llc Rochester NY 02/2026 Present
Ashton Thomas Private Wealth, Llc Scottsdale AZ 02/2026 Present
  • 09/2014 → 12/2016
    Arizona State University
    Tempe, AZ
  • 07/2015 → 12/2017
    El Segundo, CA
  • 12/2017 → 02/2026
    Raymond James & Associates
    Los Angelos, CA
  • 02/2026 → Present
    Rochester, NY
  • 02/2026 → Present
    Ashton Thomas Private Wealth, Llc
    Scottsdale, AZ
Previous Registrations
Other Businesses

1) ASHTON THOMAS SECURITIES, LLC; INVESTMENT RELATED; ROCHESTER, NY; BROKER-DEALER/REGISTERED INVESTMENT ADVISER; REGISTERED REPRESENTATIVE/INVESTMENT ADVISER REPRESENTATIVE; 02/2026; SECURITIES SALES, FINANCIAL ADVISING/PLANNING 2) ASHTON THOMAS PRIVATE WEALTH; INVESTMENT RELATED; SCOTTSDALE, AZ; RIA; INVESTMENT ADVISOR REPRESENTATIVE; 02/2026; FINANCIAL ADVISING/PLANNING 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 2015-12-07
  • S66 Uniform Combined State Law Examination
    2015-12-07

View on SEC IAPD

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