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C Christopher Stafford

Ashton Thomas Securities, LLC
34 Years of Experience
10 DisclosuresBroker
View SEC Summary
View SEC Summary
Areas of Practice
Financial Planning & CoachingRetirement PlanningEstate PlanningInsurance PlanningInvestment Management
Ashton Thomas Securities, LLC
Compensation
Fee-Only (AUM)
Firm Size
54 advisors
Number of Clients
2,599 clients
Average Client Portfolio
$661K average
Assets Under Management
$1.7B

Fee Structure

Financial Planning:Included in AUM fee

Location

200 Canal View Blvd., Ste. 204, Rochester, NY, 14623

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History

Regulatory History (10)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
December 2005
Final
Customer Dispute
November 2005
Denied
Customer Dispute
October 2005
Closed-No Action
Customer Dispute
September 2003
Closed-No Action
Customer Dispute
January 2003
Settled
Customer Dispute
July 2002
Award / Judgment
Customer Dispute
June 2001
Settled
Customer Dispute
October 2000
Settled
Customer Dispute
October 1999
Denied
Customer Dispute
October 1998
Withdrawn
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Ashton Thomas Private Wealth
January 2024 - Present · 2 yrs 1 mo
Ashton Thomas Securities, LLCBroker
January 2024 - Present · 2 yrs 1 mo
Ashton Thomas Securities, LLC
January 2024 - Present · 2 yrs 1 mo
Previous Registrations
Raymond James & Associates, INC.
September 2016 - January 2024 · 7 yrs 4 mos
Raymond James & Associates, INC.Broker
September 2016 - January 2024 · 7 yrs 4 mos
Deutsche Bank Securities INC.Broker
September 2005 - September 2016 · 11 yrs
Merrill Lynch Pierce Fenner & Smith INC.
March 1996 - September 2005 · 9 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 1991 - September 2005 · 13 yrs 11 mos
State Registrations30 states
CACOCTDCDEFLIDILLAMAMDMEMOMTNCNHNJNVNYOKPAPRRISCSDTXVAVTVirgin IslandsWA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
C Christopher Stafford - Financial Advisor | TrueAdvisor