Jennifer L. Beals

ASHTON THOMAS SECURITIES

Scottsdale, AZ 85260

Some features on this profile are disabled

CRD#: 3084241

Professional summary

Jennifer Lynne Beals is a registered financial advisor currently at ASHTON THOMAS SECURITIES, LLC located in Scottsdale, Arizona.

Jennifer is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Jennifer has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10, Series 9, Series 51 and Series 24 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.

1. Ashton Thomas Private Wealth, LLC; Yes, Investment Related, 8605 E Raintree Drive, Suite 280, Scottsdale, AZ 85260; Investment Advisory Services; Director of Operations; 4/11/2024; 40 hours/week.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jennifer Lynne Beals's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Jennifer Lynne Beals'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

October 15, 2024 - Present

ASHTON THOMAS SECURITIES, LLC

Office #1: 8605 E. Raintree Drive Suite# 280, Scottsdale, AZ 85260

RIA

CRD#: 16629

Scottsdale, AZ

Current

October 7, 2024 - Present

ASHTON THOMAS SECURITIES, LLC

Office #1: 8605 E. Raintree Drive Suite# 280, Scottsdale, AZ 85260

RIA

CRD#: 16629

Scottsdale, AZ

Past

October 31, 2012 - February 9, 2024

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Phoenix, AZ

Past

October 31, 2012 - February 9, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Phoenix, AZ

Past

January 6, 2012 - October 1, 2012

OSAIC SERVICES, INC.

RIA

CRD#: 133763

TEMPE, AZ

Past

April 3, 2007 - December 31, 2011

OSAIC SERVICES, INC.

RIA

CRD#: 133763

TEMPE, AZ

Past

October 31, 2005 - October 1, 2012

OSAIC SERVICES, INC.

CRD#: 133763

TEMPE, AZ

Past

September 28, 1998 - October 31, 2005

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

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

Arizona
(10/15/2024)

IAR

Arizona
(10/15/2024)

New York
(10/7/2024)

IAR

New York
(10/22/2024)

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 66

Date: 3/19/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/28/1998

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: 6/14/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/25/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 9/30/2014

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/20/2014

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 51

Date: 5/4/2005

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/1/2003

General Securities Principal 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See 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

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.

Similar Advisors

Joseph Di Vito

RBC CAPITAL MARKETS, LLC

IAR

Scottsdale, AZ

Luke Kacer

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Tucson, AZ

Timothy Hughes

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Scottsdale, AZ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jennifer L. Beals

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jennifer Lynne Beals's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Jennifer Lynne Beals's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASHTON THOMAS SECURITIES, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SENTRA SECURITIES CORPORATION

Primary Firm SEC Registration

ASHTON THOMAS SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/19/2007

Series 63

Date: 9/28/1998

SIE

Date: 10/1/2018

Series 7

Date: 6/14/1999

Series 6

Date: 9/25/1998

Series 10

Date: 9/30/2014

Series 9

Date: 8/20/2014

Series 51

Date: 5/4/2005

Series 24

Date: 7/1/2003

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

Similar Advisors