DP
David W. Prull
ASHTON THOMAS SECURITIES
ROCHESTER, NY 14623
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CRD#: 2922041
DP
Professional summary
David Wesley Prull II, who also goes by David Wesley Prull, is a registered financial advisor currently at ASHTON THOMAS SECURITIES, LLC located in Rochester, New York.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. David has worked at 3 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Wesley Prull
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.
WORK FULL TIME WITH MONROE COUNTY SHERIFFS DEPARTMENT. TITLE- DEPUTY SHERIFF ROAD PATROL. LIFE INSURANCE SALES.
CRS (Client Relationship Summary) - RIA
Click below to view David Wesley Prull II's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Wesley Prull II'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®
NoneExperience
Current
August 17, 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
March 31, 2005 - Present
ASHTON THOMAS SECURITIES, LLC
Office #1: 200 Canal View Blvd Suite 204, Roschester, NY 14623RIA
BD
CRD#: 16629
Roschester, NY
Past
September 4, 1998 - April 21, 2005
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
Past
February 6, 1998 - September 4, 1998
ESSEX CAPITAL MARKETS, INC.
BD
CRD#: 11896
ROCHESTER, 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".
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
California(9/7/2007)
RR
New York(3/31/2005)
IAR
New York(8/17/2021)
RR
South Carolina(9/25/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/17/2000
Limited Representative-Equity Trader ExamGeneral 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
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.
Company Information
ASHTON THOMAS SECURITIES, LLC
CRD#: 16629Rochester, NY 14623TRUST BUT VERIFY
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