Rochester, NY Lyell Ave Office
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Ashton Thomas Securities, LLC
Multi-team
Firm-wide stats for Ashton Thomas Securities, LLC
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
2243 Lyell Ave
Rochester NY 14606
Advisors at this office
4
Advisors at this office
Robert L
Series 66
Rochester, NY
Ashton Thomas Securities, LLC
Robert Lee is a financial advisor with Ashton Thomas Securities, LLC in Rochester, NY, holding a Series 66 designation and bringing 26 years of industry experience. He has been with Excel Securities & Associates, Inc. since 2011. Ashton Thomas Securities, LLC serves individuals, business entities, trusts, estates, and charitable organizations, managing approximately $1.72 billion for about 2,600 clients. The firm offers discretionary and non-discretionary portfolio management, financial planning, and retirement plan consulting, utilizing a range of investment options and multiple program versions with ongoing account review and rebalancing.
Lorna E
Series 63, Series 66
Rochester, NY
Ashton Thomas Securities, LLC
Lorna Erb is a financial advisor at Ashton Thomas Securities, LLC with three years of industry experience. She holds the Series 63 and Series 66 designations. Prior to joining Ashton Thomas Securities, she held roles at JPMorgan Chase Bank and J.P. Morgan Securities, and has also worked in retail positions at Sephora and Ulta Beauty. 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 a range of program structures and retirement plan fiduciary services.
Peter S
Series 66
Rochester, NY
Ashton Thomas Securities, LLC
Peter Sartori is a financial advisor at Ashton Thomas Securities, LLC with 19 years of industry experience. He holds the Series 66 designation and has worked at Excel Securities & Associates, Inc. since 2014. Ashton Thomas Securities, LLC serves individuals, business entities, trusts, estates, and charitable organizations, managing approximately $1.72 billion for about 2,600 clients. The firm offers a range of portfolio management services, financial planning, and retirement plan consulting, utilizing mutual funds, ETFs, independent managers, and third-party models tailored to client profiles.
Phillip Y
Series 63, Series 65
Rochester, NY
Ashton Thomas Securities, LLC
Phillip Yargeau is a financial advisor with Ashton Thomas Securities, LLC, holding Series 63 and Series 65 licenses and serving clients for 33 years. He has been with Ashton Thomas since 2011 and also has experience at Pike & Gold Partners and Erb's Income Tax Service, where he is a 40% owner and prepares tax returns. Additionally, he assists clients with Medicare Supplement and Advantage Plan selections as a health insurance agent. Ashton Thomas Securities is a registered investment adviser and broker-dealer managing approximately $1.86 billion for individuals, business entities, trusts, estates, and charitable organizations. The firm offers a range of investment management programs and retirement plan services through a team of 18 advisors across six offices.
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