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Current Employers
Ashton Thomas Securities, Llc

200 Canal View Blvd. Suite 204, Rochester, NY 14623 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-09-08
  • NY RA
    APPROVED
    Since 2022-09-08

Branch Locations

Square Deal Place 111 Grant Ave Suite 107, Endicott, NY 13760 • 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
Foresters Financial Services Endicott NY 04/2016 08/2016
Edward Jones St Louis MO 12/2016 Present
Unemployed Endicott NY 09/2016 11/2016
  • 04/2016 → 08/2016
    Foresters Financial Services
    Endicott, NY
  • 12/2016 → Present
    St Louis, MO
  • 09/2016 → 11/2016
    Unemployed
    Endicott, NY
Previous Registrations
  • 2017-06-02 → 2022-09-06
    Endicott, NY
    St Louis, MO
    Elmira, NY
Other Businesses

President of Rotary Club Of Elmira since 7/7/2022 address: PO Box 941 Elmira NY 14902. Service Based Business not related to any investments. Working 10hour per month, Zero Compensation . Duties are Running meetings & community based programs, His role does not involve handling or controlling of Club Assets.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-03-27
S63 Uniform Securities Agent State Law Examination 2016-06-20
  • S66 Uniform Combined State Law Examination
    2017-03-27
  • S63 Uniform Securities Agent State Law Examination
    2016-06-20

View on SEC IAPD

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