Boston, MA Office
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Ashton Thomas Securities, LLC
Multi-team
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About
Ashton Thomas Securities is a registered investment adviser and long‑standing broker‑dealer that provides discretionary and non‑discretionary investment management, financial planning, and retirement plan consulting to individuals, business entities, trusts, estates and charitable organizations. The firm manages roughly $1.86 billion for about 2,281 clients through a team of 18 advisors operating across six offices and routinely serves individual (non‑high‑net‑worth) clients alongside plan sponsor relationships.
The firm offers multiple program structures — including wrap and non‑wrap offerings, model portfolios, managed ETF and Morningstar sub‑advised options, and separately managed account programs — and can allocate to unaffiliated independent managers or third‑party sub‑advisers (for example, Altrium for fixed income). Ashton Thomas also provides retirement plan ERISA fiduciary services, ongoing account monitoring and rebalancing, and operates a platform that delivers back‑office, trading and model access to other advisers while retaining responsibility for client suitability and oversight.
What is distinctive about Ashton Thomas relative to many team firms is its integrated broker‑dealer role and related affiliations: it has been a FINRA‑regulated broker‑dealer since 1985 and acts as broker‑dealer of record for advisory program accounts, sponsors the Amplify Platform, and shares common ownership/affiliations with other entities (including an affiliated registered adviser and an insurance agency used for client insurance implementation). Those organizational ties, along with the firm’s use of wrap programs and required platform services for its representatives, create operational and potential conflict considerations that clients should review when comparing it to peers.
Based on Ashton Thomas Securities, LLC
Expertise
Based on Ashton Thomas Securities, LLC
Location
53 State Street, Suite 1301
Boston MA 02109
Advisors at this office
4
Advisors at this office
C S
Series 63, Series 65
Boston, MA
Ashton Thomas Securities, LLC
C Stafford is a financial advisor with Ashton Thomas Securities, LLC, holding Series 63 and Series 65 licenses and offering 34 years of industry experience. Prior to joining Ashton Thomas Private Wealth in 2024, Stafford worked at Raymond James & Associates for eight years. Ashton Thomas Securities is a registered investment adviser and broker-dealer providing investment management, financial planning, and retirement plan consulting to individuals, businesses, trusts, estates, and charitable organizations. The firm manages approximately $1.86 billion for over 2,200 clients through a team of 18 advisors across six offices, offering a variety of program structures and retirement plan fiduciary services.
Hunter H
Series 63, Series 66
Boston, MA
Ashton Thomas Securities, LLC
Hunter Hendrix is a financial advisor with Ashton Thomas Securities, LLC in Boston, MA, holding Series 63 and Series 66 licenses and having four years of industry experience. He previously worked at Raymond James & Associates, Inc., DSJ Global, and Equitable Advisors, LLC. Ashton Thomas Securities is a registered investment adviser and broker-dealer that offers investment management, financial planning, and retirement plan consulting to individuals, business entities, trusts, estates, and charitable organizations. The firm manages approximately $1.86 billion for over 2,200 clients through a team of 18 advisors operating across six offices.
Nadejda M
Series 66
Boston, MA
Ashton Thomas Securities, LLC
Nadejda Mocan is a Financial Solutions Advisor (FSA) with Merrill Lynch Wealth Management. In her role, she focuses on understanding clients' priorities and goals to help them develop strategies for pursuing their financial objectives. Her areas of expertise include general investing, retirement planning, and preparing for unexpected financial needs. Nadejda holds a Doctorate Degree from the State University of Management and has earned the Chartered Financial Analyst (CFA) and Personal Investment Advisor (PIA) designations. She emphasizes ongoing communication with clients to provide tailored advice and guidance as their needs evolve.
Cory S
Series 66
Boston, MA
Ashton Thomas Securities, LLC
Cory Schauer is a financial advisor with Ashton Thomas Securities, LLC in Boston, MA. He holds a Series 66 designation and has 16 years of industry experience. Prior to joining Ashton Thomas in 2024, he worked with Raymond James & Associates for eight years. Ashton Thomas Securities is a registered investment adviser and broker-dealer that provides investment management, financial planning, and retirement plan consulting to individuals, businesses, trusts, estates, and charitable organizations. The firm manages approximately $1.86 billion across about 2,281 clients through a team of 18 advisors operating in six offices.
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