Shannon K. Mclaughlin

ASHTON THOMAS PRIVATE WEALTH

Scottsdale, AZ 85260

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CRD#: 1518897

Professional summary

Shannon Kathleen Mclaughlin, who also goes by Shannon K Mclaughlin, Shannon Kathleen Mclaughlin, Shannon Kathleen Walker, is a registered financial advisor currently at ASHTON THOMAS PRIVATE WEALTH located in Scottsdale, Arizona and ASHTON THOMAS SECURITIES, LLC located in Rochester, New York.

Shannon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Shannon has worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 4 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Shannon K Mclaughlin | Shannon Kathleen Mclaughlin | Shannon Kathleen Walker

Other business activities

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.

1) Ashton Thomas Private Wealth, LLC; Yes, Investment-Related; 8605 East Raintree Drive, Suite 280, Scottsdale, AZ 85260; Investment Advisory Firm; Regional Administrative Manager; 07/29/2025; 40 hours/week.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shannon Kathleen Mclaughlin's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 3, 2025 - Present

ASHTON THOMAS PRIVATE WEALTH

Office #1: 8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260

RIA

CRD#: 153902

Scottsdale, AZ

Current

August 6, 2025 - Present

ASHTON THOMAS SECURITIES, LLC

Office #1: 200 Canal View Blvd. Ste. 204, Rochester, NY 14623

RIA

CRD#: 16629

Rochester, NY

Past

April 25, 2025 - July 15, 2025

AMERICANA PARTNERS, LLC

RIA

CRD#: 301354

Beverly Hills,, CA

Past

September 7, 2023 - August 14, 2024

BOULEVARD FAMILY WEALTH SERVICES, LLC

RIA

CRD#: 327643

BEVERLY HILLS, CA

Past

March 20, 2019 - April 28, 2025

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

July 7, 2017 - May 22, 2025

BOULEVARD FAMILY WEALTH

RIA

CRD#: 285229

Los Angeles, CA

Past

July 6, 2012 - July 11, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BEVERLY HILLS, CA

Past

July 6, 2012 - July 11, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BEVERLY HILLS, CA

Past

March 20, 2012 - July 19, 2012

BARCLAYS CAPITAL INC.

RIA

CRD#: 19714

LOS ANGELES, CA

Past

March 20, 2012 - July 19, 2012

BARCLAYS CAPITAL INC.

CRD#: 19714

LOS ANGELES, CA

Past

June 1, 2009 - March 28, 2012

MORGAN STANLEY

RIA

CRD#: 149777

BEVERLY HILLS, CA

Past

June 1, 2009 - March 28, 2012

MORGAN STANLEY

CRD#: 149777

BEVERLY HILLS, CA

Past

March 13, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BEVERLY HILLS, CA

Past

March 13, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BEVERLY HILLS, CA

Past

November 15, 2005 - March 12, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BEVERLY HILLS, CA

Past

June 8, 2005 - October 10, 2005

TOWER ASSET MANAGEMENT LLC

RIA

CRD#: 107919

BEVERLY HILLS, CA

Past

June 8, 2005 - October 10, 2005

M.L. STERN & CO., LLC.

RIA

CRD#: 8327

BEVERLY HILLS, CA

Past

November 2, 2004 - October 10, 2005

M.L. STERN & CO., LLC.

CRD#: 8327

BEVERLY HILLS, CA

Past

March 10, 2000 - October 25, 2004

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

May 3, 1996 - March 15, 2000

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ASHTON THOMAS PRIVATE WEALTH

CRD#: 153902 / SEC#: 801-71512

RIA

Registered Investment Advisory firm - (6/15/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(9/3/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/9/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/10/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/11/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/2/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 5/1/2010

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 4

Date: 9/5/2009

Registered Options Principal Examination

Principal/Supervisory Exam

Series 9

Date: 8/27/2009

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

ASHTON THOMAS PRIVATE WEALTH

CRD#: 153902 / SEC#: 801-71512

RIA

Registered Investment Advisory firm - (6/15/2010 Approved)

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Contact information

Main Address

8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260

Mailing Address

Phone number

(602) 732-4745

Established

Firm type

Fiscal year end

# of Employees

114

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A, APPENDIX 1 WRAP FEE PROGRAM BROCHURE (5/5/2025)

ADV PART 2A FIRM BROCHURE (5/5/2025)

Regulatory assets under management

Total Number of Accounts	6,733
AUM (Assets Under Management)	$ 4,051,333,740

Red Flags

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Shannon K. Mclaughlin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shannon Kathleen Mclaughlin's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASHTON THOMAS SECURITIES, LLC

AMERICANA PARTNERS, LLC

BOULEVARD FAMILY WEALTH SERVICES, LLC

THE LEADERS GROUP, INC.

BOULEVARD FAMILY WEALTH

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BARCLAYS CAPITAL INC.

BARCLAYS CAPITAL INC.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

TOWER ASSET MANAGEMENT LLC

M.L. STERN & CO., LLC.

M.L. STERN & CO., LLC.

LEHMAN BROTHERS INC.

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

ASHTON THOMAS PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 4/9/2009

Series 63

Date: 3/10/1997

SIE

Date: 7/11/2017

Series 7

Date: 5/2/1996

Series 10

Date: 5/1/2010

Series 4

Date: 9/5/2009

Series 9

Date: 8/27/2009

FINRA

Current Firm

ASHTON THOMAS PRIVATE WEALTH

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASHTON THOMAS PRIVATE WEALTH

TRUST BUT VERIFY

Contact information

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