CRD #16629 · FINRA BrokerCheck + SEC IAPD

Ashton Thomas Securities, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Ashton Thomas Securities, LLC ranks #1,118 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #112 of 868 on the same disclosure sort used on the state browse page. Ashton Thomas Securities, LLC carries 6 BrokerCheck disclosures across 31 branch offices - light load for a mid-sized firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
31
branch offices
6
disclosures
#1,118 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 16629 Ashton Thomas Securities, LLC

Ashton Thomas Securities, LLC · Grade B · 6 disc · 0.19/office · Mid-sized firm

  • CRD 16629
  • GRADE B
  • DISC 6
  • REG 4
  • ARB 2
  • CIV 0
  • BRANCH 31
  • PER-OFF 0.19
  • RANK #1,118 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: DMK Advisor Group, Inc. (0.20 disc/office)

DMK Advisor Group, Inc.0.20Bolton Global Capital0.18Coordinated Capital Sec…0.21Ashton Thomas Secur… (this)0.19
Disclosures per office among mid-sized firm peers (lower is cleaner)

Ashton Thomas Securities, LLC ranks #1,118 of 20,055 by disclosure count among graded broker-dealers; light load at 0.19 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

31 offices

FINRA: Small firm

Total disclosures

6 events

On FINRA BrokerCheck

Regulatory events

4 actions

67% of all disclosures

Disclosures per office

0.19 per office

6 ÷ 31 offices

Ashton Thomas Securities, LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 79% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 4
Arbitrations 2
Civil Events 0
Total 6

Counts for Ashton Thomas Securities, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 4 Arbitration 2 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Rochester, NY
CRD Number
16629

Lower disclosures per office

Ashton Thomas Securities, LLC in the heavier-disclosure third

Ashton Thomas Securities, LLC carries 6 BrokerCheck disclosures across 31 branch offices - a heavier-third raw book among graded firms (#1,118 of 20,055). Regulator-initiated events are 67% of the book (4 regulatory / 2 arbitration / 0 civil).

Ashton Thomas Securities, LLC runs 0.19 disclosures per branch office (cleaner than 79% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Ashton Thomas Securities, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 0.69× state average

Ashton Thomas Securities, LLC tracks near the New York disclosure average

Ashton Thomas Securities, LLC reports 6 BrokerCheck disclosures, about 0.69× the New York average of 8.7 across 868 graded firms.

In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Ashton Thomas Securities, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Ashton Thomas Securities, LLC ranks #1,118 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #112 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Ashton Thomas Securities, LLC?
A grade of B reflects Ashton Thomas Securities, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 6 total disclosures across 31 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Ashton Thomas Securities, LLC have?
Ashton Thomas Securities, LLC has 6 total FINRA disclosures, including 4 regulatory events, 2 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Ashton Thomas Securities, LLC?
Ashton Thomas Securities, LLC operates 31 branch offices and is classified by FINRA as a small firm, registered in NY (Mid-sized firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Ashton Thomas Securities, LLC's disciplinary record?
You can verify Ashton Thomas Securities, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 16629. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Ashton Thomas Securities, LLC's 6 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Ashton Thomas Securities, LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Ashton Thomas Securities, LLC carries 6 disclosures across 31 branch offices (about 0.19 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Ashton Thomas Securities, LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • DMK Advisor Group, Inc. (FL) - 0.20 disclosures/office, nearest mid-sized firm peer to Ashton Thomas Securities, LLC's 0.19
  • Bolton Global Capital (MA) - 0.18 disclosures/office, nearest mid-sized firm peer to Ashton Thomas Securities, LLC's 0.19
  • Coordinated Capital Securities, Inc. (WI) - 0.21 disclosures/office, nearest mid-sized firm peer to Ashton Thomas Securities, LLC's 0.19
  • Firms in NY - state roster that includes Ashton Thomas Securities, LLC's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Ashton Thomas Securities, LLC.
  • Reading BrokerCheck Reports - How Ashton Thomas Securities, LLC's 0.19 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Ashton Thomas Securities, LLC.
  • Compare firms - put Ashton Thomas Securities, LLC next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.