New York, NY Office

Team
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Ashton Thomas Securities, LLC

Multi-team

Firm-wide stats for Ashton Thomas Securities, LLC

Total advisors

36

Across 13 offices

Clients per advisor

63 Typical

Avg AUM per client

$814,843 High

HNW client ratio

13% Low

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

Options & derivatives strategies Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Wealth management

Based on Ashton Thomas Securities, LLC

Location

10 E 53rd Street, Suite 1400

New York NY 10022

Advisors at this office

7

Advisors at this office

user avatar

Daniel B

Series 66

New York, NY

Ashton Thomas Securities, LLC

Daniel Bauers is a financial advisor with Ashton Thomas Securities, LLC, holding a Series 66 designation and 18 years of industry experience. He previously worked at Raymond James & Associates from 2016 to 2024 before joining Ashton Thomas. Ashton Thomas Securities is a registered investment adviser and broker-dealer that provides 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 across six offices, offering multiple program structures and retirement plan ERISA fiduciary services.

Options & derivatives strategies Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Wealth management
user avatar

Gerald A

Series 63, Series 65

New York, NY

Ashton Thomas Securities, LLC

Gerald Ariyan is a financial advisor with Ashton Thomas Securities, LLC, holding Series 63 and Series 65 licenses and having 31 years of industry experience. He previously worked at Raymond James & Associates and serves as Chief Executive Officer of Arax Investment Partners. Ariyan is also active as an independent director and chairman of the investment committee at Mass Mutual Trust Co. Ashton Thomas Securities is a registered investment adviser and broker-dealer that provides 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-based approach and offers a variety of program structures including wrap and non-wrap offerings, model portfolios, and separately managed accounts.

Options & derivatives strategies Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Wealth management
user avatar

Theodore M

Series 63, Series 66

New York, NY

Ashton Thomas Securities, LLC

Theodore Mcdonagh is a financial advisor at Ashton Thomas Securities, LLC with 29 years of industry experience. He holds Series 63 and Series 66 licenses and has previously worked at Raymond James & Associates. Outside of his advisory role, he serves on the Board of Trustees for Seton Hall Prep. Ashton Thomas Securities is a registered investment adviser and broker-dealer serving individuals, business entities, trusts, estates, and charitable organizations. The firm manages approximately $1.86 billion across 2,281 clients through a team of 18 advisors and offers various investment programs, including wrap and non-wrap options, model portfolios, and third-party sub-advisory arrangements.

Options & derivatives strategies Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Wealth management
user avatar

Zbynek K

Series 63, Series 66

New York, NY

Ashton Thomas Securities, LLC

Zbynek Kozelsky is a financial advisor at Ashton Thomas Securities, LLC with 23 years of industry experience. He holds Series 63 and Series 66 licenses and previously worked at Deutsche Bank Securities Inc. and Arax Investment Partners. Outside of his advisory role, he is the managing member of DN Athletics, LLC, an apparel and retail business. Ashton Thomas Securities is a registered investment adviser and broker-dealer serving individuals, business entities, trusts, estates, and charitable organizations. The firm offers a range of investment management and retirement plan consulting services through a team of 18 advisors and manages approximately $1.86 billion across multiple program structures.

Options & derivatives strategies Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Wealth management
user avatar

Justine K

Series 66

New York, NY

Ashton Thomas Securities, LLC

Justine Kinaj is a financial advisor with Ashton Thomas Securities, LLC, holding a Series 66 designation and possessing 10 years of industry experience. She previously worked at Raymond James & Associates from 2016 to 2024 before joining Ashton Thomas in 2024. Ashton Thomas Securities is a registered investment adviser and broker-dealer that offers discretionary and non-discretionary 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 across six offices, providing a range of program structures including wrap and non-wrap offerings and third-party sub-advised options.

Options & derivatives strategies Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Wealth management
user avatar

Terrence B

Series 63, Series 65

New York, NY

Ashton Thomas Securities, LLC

Terrence Britt is a financial advisor with Ashton Thomas Securities, LLC in New York, NY, holding Series 63 and Series 65 designations and possessing 35 years of industry experience. He has worked at Ashton Thomas Securities since 1991. Ashton Thomas Securities is a registered investment adviser and broker-dealer that provides 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 across six offices, offering various program structures and ERISA fiduciary services.

Options & derivatives strategies Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Wealth management
user avatar

Mourad T

Series 66

New York, NY

Ashton Thomas Securities, LLC

Mourad Tossounian is a financial advisor at Ashton Thomas Securities, LLC with four years of industry experience. He holds the Series 66 designation and has worked previously at Raymond James & Associates, Inc., Raymond James, and MT Capital. Outside the financial industry, he has been involved with Carnival Bounce Rentals. 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 about 2,281 clients through a team of 18 advisors across six offices, providing a variety of program structures including wrap and non-wrap offerings, model portfolios, and separately managed accounts.

Options & derivatives strategies Private / alternative investments Retirement plans for business owners (SEP, solo 401k) Wealth management
View complete list of advisors at this office
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