Full text of ASHTON THOMAS SECURITIES, LLC's X-17A-5 filed 2026-03-02 (period 2025-12-31). 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 OM8 APPROVAL OM8 Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # ANNUAL REPORTS FORM X-17A-5 PART III | SEC FILE NUMBER | |-----------------| | 8-34261 | 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 01/01/2025 | | AND ENDING 12/31/2025 | | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------|--------------------------------------------|--|--|--|--| | MM/DD/YY | | MM/DD/YY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: Ashton Thomas Securities LLC | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>L Security-based swap dealer<br>El Broker-dealer<br>O Check here if respondent is also an OTC derivatives dealer | | IL 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 | | | | | | | | (No. and Street) | | | | | | | | Rochester | New York | 14623 | | | | | | (City) | (State) | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Joseph Lanzisera | 585-424-1234 | jlanzisera@at-pw.com | | | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | RGD+ Partners, PLLC | | | | | | | | | (Name -- if individual, state last, first, and middle name) | | | | | | | 10 Winthrop Street | Rochester | New York 14607 | | | | | | (Address) | (City) | (State)<br>(Zip Code) | | | | | | 07/13/2010 | | 5175 | | | | | | (Date of Registration with PCAOB)(if applicable) | | (PCAOB Registration Number, if applicable) | | | | | | | FOR OFFICIAL USE ONLY | | | | | | \* Claims for exemption from the requirement that the annual 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-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not req…Read the full text as markdown