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MD

Michael P. Davis

ASHTON THOMAS SECURITIES
Westerville, OH
Some features on this profile are disabled
CRD#: 3000142
MD

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.
The advisor shows no other business activity.

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
BD
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
BD
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

BD
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

BD
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".
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
Ohio
(7/20/2015)
IAR
Ohio
(7/1/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/29/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/13/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/17/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/5/1998
Investment Company Products/Variable Contracts Representative Examination
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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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 (44 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
EXPLORER INVESTMENT HOLDINGS, LLCMEMBER
BRITT, TERRENCE PATRICKVICE PRESIDENT / CHIEF OPERATING OFFICER2165686
JOHNSON, KIMBERLYCHIEF COMPLIANCE OFFICER5378831
LANZISERA, JOSEPH ANTHONYPRESIDENT AND CHIEF FINANCIAL OFFICER1052572

Regulatory assets under management

Total Number of Accounts2,599
AUM (Assets Under Management)$ 1,717,957,312

Disclosures

Regulatory Event4
Arbitration2

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#: 16629Westerville, OH

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