Full text of ASHTON THOMAS SECURITIES, LLC's X-17A-5 filed 2025-03-21 (period 2024-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-34261 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **O 1/01/2024** AND ENDING **12/31/2024** MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: Ashton Thomas Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): 0 Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 200 Canal View Blvd. Suite 204 | Rochester | New York | 14623 | |----------------------------------------------|-----------------------------------------------------------------------------------------------------------|-------------------------| | (City) | (State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | Joseph Lanzisera | 585-424-1234 | joe@excelsecurities.com | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | RDG+Partners CPAs, PLLC | (Name - if individual, state last, first, and middle name) | | | 10 Winthrop St. | Rochester | NewYork 14607 | | (Address) | (City) | (State)<br>(Zip Code) | | 7/13/2010 | | 5175 | • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number. {1}------------------------------------------------  | I, Joseph Lanzisera | swear (or affirm) that, to the best of my knowledge and belief, the | | |---------------------|---------------------------------------------------------------------|--| | | | | financial report pertaining to the firm of Ashton Thomas Securities. LLC as of 12/31 2~ is true and correct. I further swear (or…Read the full text as markdown