JL
Jennifer L. Lotta
MARELLO INVESTMENT ADVISORS
ROCHESTER, NY 14623
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CRD#: 2856533
JL
Professional summary
Jennifer Lyn Lotta, CFP® is a registered financial advisor currently at MARELLO INVESTMENT ADVISORS, INC. located in Rochester, New York and ASHTON THOMAS SECURITIES, LLC located in Rochester, New York.
Jennifer is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Jennifer has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Investment Planning
Retirement Income Management
Retirement Planning
Insurance Planning
Long-term Care
Education Planning
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.
Registered Representative of Ashton Thomas Securities, LLC (fka Excel Securities & Associates, Inc.) since 2004. Investment Related. 200 Canal View Blvd. #204, Rochester, NY 14623, Hours/month: 72. Income is derived from this business. Life Insurance Agent (various agencies) since 1998 - Fixed Life Insurance/ Annuity Sales. NON Investment Related. 200 Canal View Blvd. #204, Rochester, NY 14623, Hours/month: 1. Income is derived from this business.
CRS (Client Relationship Summary) - RIA
Click below to view Jennifer Lyn Lotta's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jennifer Lyn Lotta's 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®
CFP®
Start date: 2006
Experience
Current
August 20, 2001 - Present
MARELLO INVESTMENT ADVISORS, INC.
Office #1: 200 Canal View Boulevard Suite 204, Rochester, NY 14623RIA
CRD#: 112946
ROCHESTER, NY
Current
August 12, 2021 - Present
ASHTON THOMAS SECURITIES, LLC
Office #1: 200 Canal View Blvd Suite 204, Rochester, NY 14623Office #2: 200 Canal View Blvd Suite 204, Roschester, NY 14623RIA
BD
CRD#: 16629
ROCHESTER, NY
Current
December 5, 2003 - Present
ASHTON THOMAS SECURITIES, LLC
Office #1: 200 Canal View Blvd Suite 204, Roschester, NY 14623RIA
BD
CRD#: 16629
Roschester, NY
Past
June 6, 2001 - December 9, 2003
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
September 16, 1997 - May 22, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
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".
AT
ASHTON THOMAS SECURITIES, LLC
ASHTON THOMAS SECURITIES, LLC | LANZISERA, JOSEPH ANTHONY | EXCEL SECURITIES & ASSOCIATES,INC. | EXCEL SECURITIES & ASSOCIATES, INC. | EXCEL SECURITIES & ASSOCIATES | EXCEL SECURITIES
CRD#: 16629 / SEC#: 801-69225, 8-34261
RIA
Registered Investment Advisory firm - SEC (6/11/2008 Approved)Florida
Registered Investment Advisory firm - SEC (6/18/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(6/29/2011)
IAR
California(8/20/2001)
RR
California(3/11/2004)
RR
Colorado(2/11/2025)
RR
Florida(11/16/2006)
RR
Georgia(11/16/2006)
RR
Massachusetts(4/16/2009)
RR
Nevada(11/16/2006)
RR
New Hampshire(1/3/2019)
RR
New Jersey(1/16/2024)
RR
New York(12/5/2003)
IAR
New York(8/12/2021)
RR
Vermont(8/15/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AT
ASHTON THOMAS SECURITIES, LLC
ASHTON THOMAS SECURITIES, LLC | LANZISERA, JOSEPH ANTHONY | EXCEL SECURITIES & ASSOCIATES,INC. | EXCEL SECURITIES & ASSOCIATES, INC. | EXCEL SECURITIES & ASSOCIATES | EXCEL SECURITIES
CRD#: 16629 / SEC#: 801-69225, 8-34261
RIA
Registered Investment Advisory firm - SEC (6/11/2008 Approved)Florida
Registered Investment Advisory firm - SEC (6/18/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
200 Canal View Blvd. Suite 204, Rochester, NY 14623
Mailing Address
200 Canal View Blvd. Ste. 204, Rochester, NY 14623
Phone number
(585) 424-1234
Established
Delaware since 01/08/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
75
SEC notice filing (43 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,599 |
| AUM (Assets Under Management) | $ 1,717,957,312 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ASHTON THOMAS SECURITIES, LLC
CRD#: 16629Rochester, NY 14623TRUST BUT VERIFY
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Contact information
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