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100 Meridian Centre Blvd Suite 250, Rochester, NY 14618 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2026-02-10 |
| CA | RA | APPROVED | 2026-01-02 |
Branch Locations
580 California Street Suite 2000, San Francisco, CA 94104 • United States
100 Meridian Centre Blvd Suite 250, Rochester, NY 14618 • UNITED STATES
580 California Street Suite 700, San Francisco, CA 94104 • United States
8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-17 |
| TX | RA | APPROVED | 2025-01-16 |
Branch Locations
580 California Street Suite 2000, San Francisco, CA 94104 • United States
8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260 • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | San Francisco | CA | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | San Francisco | CA | 11/2016 | 01/2025 |
| Ashton Thomas Private Wealth, Llc | Scottsdale | AZ | 01/2025 | Present |
| Ashton Thomas Securities, Llc | Rochester | NY | 01/2025 | Present |
| Cavalier Equestrians Llc | Kentfield | CA | 03/2018 | Present |
1) CAVALIER EQUESTRIANS LLC, INVESTMENT RELATED, KENTFIELD, CA, 100% OWNERSHIP WITH SPOUSE, START 3/15/2018, 10 HOURS PER MONTH, ZERO DURING TRADING; ACQUIRE TRAIN SHOW AND SELL PERFORMANCE HORSES 2) ASHTON THOMAS PRIVATE WEALTH, LLC; YES, INVESTMENT RELATED; 8605 EAST RAINTREE DRIVE, SUITE 280, SCOTTSDALE, AZ 85260; INVESTMENT ADVISORY FIRM; INVESTMENT ADVISOR; 1/16/2025; 40 HOURS/WEEK.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-11-09 |
| S63 | Uniform Securities Agent State Law Examination | 1982-08-20 |
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