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ASHTON THOMAS SECURITIES, LLC

ROCHESTER, NY · CRD 16629 · IAPD ↗ · ashtonthomaspw.com · 800-323-3746

$1.86BRegulatory AUM
26Advisory reps
46Employees
0Clients
0Planning clients
0Private funds
46States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

49
July 2026 — ASHTON THOMAS SECURITIES, LLC notice-filed in KY, NM.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
30
April 2026 — ASHTON THOMAS SECURITIES, LLC changed its website from excelsecurities.com to ashtonthomaspw.com.
Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
Marketing & brand
55
April 2026 — ASHTON THOMAS SECURITIES, LLC shrank from 48 to 26 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
47
February 2026 — ASHTON THOMAS SECURITIES, LLC notice-filed in MT.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
85
April 2025 — ASHTON THOMAS SECURITIES, LLC crossed $1B in regulatory AUM ($409.1M -> $1.72B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
85
April 2025 — ASHTON THOMAS SECURITIES, LLC grew from 20 to 48 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
53
July 2024 — ASHTON THOMAS SECURITIES, LLC added office(s): 5 -> 6 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
53
April 2024 — ASHTON THOMAS SECURITIES, LLC added office(s): 4 -> 5 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
43
February 2024 — ASHTON THOMAS SECURITIES, LLC filed an Item 4A succession naming ASHTON THOMAS SECURITIES, LLC (CRD 16629) — an entity change, not a deal.
Item 4A succession where the acquired firm is the same business (entity change, not a deal).
Integration & migration consultingCompliance
53
February 2024 — ASHTON THOMAS SECURITIES, LLC added office(s): 3 -> 4 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
53
February 2024 — ASHTON THOMAS SECURITIES, LLC notice-filed in DC, ID, IL, LA, OK, VI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
58
February 2024 — EXCEL SECURITIES & ASSOCIATES,INC. is now doing business as ASHTON THOMAS SECURITIES, LLC.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.