Andrew S. Ashton

PROSTATIS FINANCIAL ADVISORS GROUP

Hanover, MD 21076

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CRD#: 2437849

Professional summary

Andrew Sterling Ashton is a registered financial advisor currently at PROSTATIS FINANCIAL ADVISORS GROUP located in Hanover, Maryland.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Andrew has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Sterling Ashton'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

November 26, 2018 - Present

PROSTATIS FINANCIAL ADVISORS GROUP

Office #1: 7580 Buckingham Blvd, Ste. 180, Hanover, MD 21076

RIA

CRD#: 132662

Hanover, MD

Past

July 26, 2006 - October 3, 2012

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

BALTIMORE, MD

Past

February 21, 2006 - April 24, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 23, 2004 - February 21, 2006

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

April 3, 2002 - June 2, 2004

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

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".

PROSTATIS FINANCIAL ADVISORS GROUP

CRD#: 132662 / SEC#: 801-112501

RIA

Registered Investment Advisory firm - (2/23/2018 Approved)

Florida

Registered Investment Advisory firm - (4/5/2018 Terminated)

Maryland

Registered Investment Advisory firm - (7/20/2018 Terminated)

Texas

Registered Investment Advisory firm - (4/5/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Maryland
(11/26/2018)

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 65

Date: 10/26/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/17/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/2/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 9/7/2004

Registered Options Principal Examination

Current Firm

PROSTATIS FINANCIAL ADVISORS GROUP

CRD#: 132662 / SEC#: 801-112501

RIA

Registered Investment Advisory firm - (2/23/2018 Approved)

Florida

Registered Investment Advisory firm - (4/5/2018 Terminated)

Maryland

Registered Investment Advisory firm - (7/20/2018 Terminated)

Texas

Registered Investment Advisory firm - (4/5/2018 Terminated)

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Contact information

Main Address

7580 Buckingham Blvd, Suite 180, Hanover, MD 21076

Mailing Address

Phone number

(410) 863-1040

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	4,217
AUM (Assets Under Management)	$ 508,939,132

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.

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Advisor Monitoring

Firm Stability Insights

Andrew S. Ashton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Sterling Ashton's CRS (Customer Relationship Summary).

Certified licenses

Experience

DEUTSCHE BANK SECURITIES INC.

CITIGROUP GLOBAL MARKETS INC.

LEGG MASON WOOD WALKER, INCORPORATED

DEUTSCHE BANK SECURITIES INC.

Primary Firm SEC Registration

PROSTATIS FINANCIAL ADVISORS GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 10/26/2018

Series 63

Date: 9/17/2002

Series 7

Date: 4/2/2002

Series 4

Date: 9/7/2004

Current Firm

PROSTATIS FINANCIAL ADVISORS GROUP

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSTATIS FINANCIAL ADVISORS GROUP

TRUST BUT VERIFY

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