San Francisco, CA 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
580 California Street, Suite 700
San Francisco CA 94104
Advisors at this office
3
Advisors at this office
Jonathan S
CFP®, Series 66
San Francisco, CA
Ashton Thomas Securities, LLC
Jonathan Smith is a CERTIFIED FINANCIAL PLANNER™ with 26 years of industry experience. He currently works at Ashton Thomas Securities, LLC and Ashton Thomas Private Wealth, LLC, having joined both firms in 2025. His prior experience includes roles at Wells Fargo Clearing, Wells Fargo Investments, and Merrill. 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 multiple office locations, offering a range of investment management and financial planning services with various program structures and third-party sub-advisers.
Gregory W
Series 66
San Francisco, CA
Ashton Thomas Securities, LLC
Gregory Weiss is a financial advisor with Ashton Thomas Securities, LLC, holding a Series 66 designation and over 24 years of industry experience. He previously worked at Wells Fargo Clearing, Lehman Brothers Inc., and AllianceBernstein L.P. Outside of advising, he owns a vineyard through Alan Astor LLC. Ashton Thomas Securities is a multi-office registered investment adviser and broker-dealer managing approximately $1.86 billion for a diverse client base, offering a range of investment management and financial planning services alongside retirement plan consulting.
Mark C
Series 63, Series 65
San Francisco, CA
Ashton Thomas Securities, LLC
Mark Cavalier is a financial advisor with Ashton Thomas Securities, LLC, holding Series 63 and Series 65 licenses and over 45 years of industry experience. He previously worked at Wells Fargo Clearing and Wells Fargo Investments, LLC for a combined total of 19 years. Outside of financial advising, he is involved with Cavalier Equestrians LLC, a business focused on acquiring, training, showing, and selling performance horses. Ashton Thomas Securities is a registered investment adviser and broker-dealer offering discretionary and non-discretionary investment management, financial planning, and retirement plan consulting to individuals, business entities, trusts, estates, and charitable organizations. The firm manages about $1.86 billion for over 2,200 clients through a team of 18 advisors operating across six offices, providing multiple program structures and retirement plan ERISA fiduciary services.
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