ASHTON THOMAS SECURITIES, LLC
Compensation Model
Compensation type disclosed on SEC Form ADV Item 5C. Filed 46154. Specific fee percentages are available in this firm's Form ADV Part 2A brochure at adviserinfo.sec.gov.
Conflict of Interest Analysis
Broker-Dealer Affiliated: Yes
This firm is affiliated with a broker-dealer, which means they may earn commissions on product sales — creating a potential conflict between their revenue and your best interest.
Insurance Licensed: Yes
This firm can sell insurance products (annuities, life insurance). This creates an incentive to recommend these products even when alternatives may be more appropriate.
Custody of Client Assets: No
Assets held at an independent custodian (e.g., Schwab, Fidelity, TD Ameritrade). This is the standard, lower-risk arrangement.
Proprietary Products: No
Uses only third-party investment products. No proprietary product conflicts.
Regulatory & Disciplinary History
Clean Record
No disciplinary events, regulatory actions, or customer complaints on file with the SEC or FINRA. This firm has maintained a spotless regulatory record for 18 years.
Firm Details
| Legal Name | ASHTON THOMAS SECURITIES, LLC |
| CRD Number | #16629 |
| SEC Registered | Yes |
| Registration Date | 2008-06-11 |
| States Registered | NY |
| Assets Under Management | $1.9B |
| Number of Clients | 26 |
| Employees | 46 |
| Compensation Type | commission |
| Last ADV Filing | 46154 |
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Frequently Asked Questions
Is ASHTON THOMAS SECURITIES, LLC a fiduciary?
No. ASHTON THOMAS SECURITIES, LLC is not registered as an RIA and is not legally bound by the fiduciary standard.
How does ASHTON THOMAS SECURITIES, LLC charge clients?
ASHTON THOMAS SECURITIES, LLC uses a commission compensation model. They also earn commissions on product sales, which may create conflicts of interest. Full fee details are in their Form ADV Part 2A brochure at adviserinfo.sec.gov.
Does ASHTON THOMAS SECURITIES, LLC have any complaints?
No. ASHTON THOMAS SECURITIES, LLC has zero complaints or disciplinary actions on file with the SEC or FINRA across 18 years of operation.
How does ASHTON THOMAS SECURITIES, LLC compare to other advisors in ROCHESTER?
ASHTON THOMAS SECURITIES, LLC has a Red Flag Score of 92/100. There are 26 registered advisory firms in ROCHESTER. Use our city page to compare firms side by side.
Where does this data come from?
All information is sourced from SEC Form ADV public filings (mandatory regulatory disclosures) and FINRA BrokerCheck records. Last updated: 2026-06-24. We do not accept payment from financial advisors.
Data source: SEC Form ADV (Parts 1 and 2A) filed with the Investment Adviser Registration Depository (IARD). Filing date: 46154. Last data refresh: 2026-06-24. AdvisorRanked does not verify the accuracy of SEC filings. This is not financial advice.