Thomas Anthoney Ashton
Professional Summary
Thomas Anthoney Ashton was a registered financial advisor. Thomas was a previously registered financial advisor and started their career in finance 1982 - 2012. Thomas had worked at 5 firms and has passed the Series 66, Series 63, Series 55, Series 7, Series 8 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
44 years in the financial services industry
Current & Past Employments
Past
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Current Firm
VANTAGE ADVISORS, LLC
Contact Information
Main Address
Carmel, INPhone Number
(317) 590-4404# of Employees
1Documents
Regulatory Assets Under Management
Total Number of Accounts
263AUM (Assets Under Management)
$19,737,061Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Mar 2000Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed May 1997Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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