C Stafford is a registered investment advisor at Ashton Thomas Securities, LLC, based in Rochester, NY, with 34 years of industry experience. C operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Insurance Planning, Investment Management, Retirement Planning. Their firm serves 2,599 clients with $1.7B in assets under management.
Compensation
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Fee Structure
Ashton Thomas Securities offers investment management services where you pay an annual percentage of your account value. The exact percentage depends on the specific program you choose. These programs include FB Advisory, Managed ETF Portfolios, and Morningstar Managed Portfolios. Fees are billed monthly or quarterly in advance, depending on the program. Additional expenses may include brokerage trading costs and custodial fees for retirement accounts. Wrap fee programs bundle investment advisory, trade execution, custody, and reporting fees into a single annual fee.
Location
200 Canal View Blvd., Ste. 204, Rochester, NY, 14623
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Regulatory History (10)
Regulatory
December 2005Customer Dispute
November 2005Customer Dispute
October 2005Customer Dispute
September 2003Customer Dispute
January 2003Customer Dispute
July 2002Customer Dispute
June 2001Customer Dispute
October 2000Customer Dispute
October 1999Customer Dispute
October 1998Employment History
Current Registrations
Ashton Thomas Private Wealth
Ashton Thomas Securities, LLCBroker
Ashton Thomas Securities, LLC
Previous Registrations
Raymond James & Associates, INC.
Raymond James & Associates, INC.Broker
Deutsche Bank Securities INC.Broker
Merrill Lynch Pierce Fenner & Smith INC.
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations31 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.