Michael P. Davis

ASHTON THOMAS SECURITIES

Westerville, OH

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CRD#: 3000142

Professional summary

Michael Patrick Davis, who also goes by Michael P Davis, is a registered financial advisor currently at ASHTON THOMAS SECURITIES, LLC located in Westerville, Ohio.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael P Davis

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.

Creative Retirement Systems - Address: 25 Merchant Street Suite 135 Cincinnati , OH 45246. since September 2018 Title: VP of Sales , devoting about 120 hours a month Income is derived form this.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Patrick Davis's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Michael Patrick Davis'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

July 1, 2024 - Present

ASHTON THOMAS SECURITIES, LLC

RIA

CRD#: 16629

Westerville, OH

Current

July 14, 2015 - Present

ASHTON THOMAS SECURITIES, LLC

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

RIA

CRD#: 16629

Rochester, NY

Past

December 12, 2012 - July 20, 2015

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA

CRD#: 106435

WESTERVILLE, OH

Past

November 25, 2009 - December 31, 2010

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA

CRD#: 105790

WESTERVILLE, OH

Past

November 18, 2009 - July 20, 2015

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

December 5, 2006 - November 2, 2009

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA

CRD#: 142373

COLUMBUS, OH

Past

May 9, 2005 - December 5, 2006

NATIONWIDE INVESTMENT SERVICES CORPORATION

RIA

CRD#: 7110

DUBLIN, OH

Past

February 6, 1998 - November 2, 2009

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

DUBLIN, OH

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 SECURITIES, LLC

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)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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.

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

Ohio
(7/20/2015)

IAR

Ohio
(7/1/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/29/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/13/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/17/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/5/1998

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ASHTON THOMAS SECURITIES, LLC

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)

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

SEC notice filing (43 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV PART 2A FIRM BROCHURE (8/15/2025)

ADV PART 2A, APPENDIX 1 WRAP FEE PROGRAM BROCHURE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
EXPLORER INVESTMENT HOLDINGS, LLC	MEMBER
BRITT, TERRENCE PATRICK	VICE PRESIDENT / CHIEF OPERATING OFFICER	2165686
JOHNSON, KIMBERLY	CHIEF COMPLIANCE OFFICER	5378831
LANZISERA, JOSEPH ANTHONY	PRESIDENT AND CHIEF FINANCIAL OFFICER	1052572

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.

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Advisor Monitoring

Firm Stability Insights

Michael P. Davis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Patrick Davis's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Michael Patrick Davis's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASHTON THOMAS SECURITIES, LLC

MANULIFE INVESTMENT MANAGEMENT (US) LLC

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

JOHN HANCOCK DISTRIBUTORS LLC

NATIONWIDE INVESTMENT ADVISORS, LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

NATIONWIDE INVESTMENT SERVICES CORPORATION

Primary Firm SEC Registration

ASHTON THOMAS SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/29/2024

Series 63

Date: 11/13/2000

SIE

Date: 10/1/2018

Series 7

Date: 9/17/2012

Series 6

Date: 2/5/1998

FINRA

Current Firm

ASHTON THOMAS SECURITIES, LLC

Contact information

SEC notice filing (43 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ASHTON THOMAS SECURITIES, LLC

TRUST BUT VERIFY

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