Stephanie M. Wei

ASHTON THOMAS PRIVATE WEALTH

San Francisco, CA 94104

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CRD#: 4100666

Professional summary

Stephanie Mayann Wei, who also goes by Stephanie W Chin, Stephanie Wei Chin, Stephanie Wei, is a registered financial advisor currently at ASHTON THOMAS PRIVATE WEALTH located in San Francisco, California and ASHTON THOMAS SECURITIES, LLC located in Rochester, New York.

Stephanie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Stephanie has worked at 9 firms and has passed the Series 65, Series 63, Series 57TO, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephanie W Chin | Stephanie Wei Chin | Stephanie Wei

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) Rental Property; Not Investment-Related; Sonoma, CA 95476; Sole owner; 1/20/2015; 2 hours/month; 0 hours/month 2) Ashton Thomas Securities, LLC; Yes, Investment-Related; 200 Canal Street, Rochester, NY; Broker-Dealer; Registered Representative; Wealth Advisor; 6/23/2025; 40 hours/week; 40 hours/week

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephanie Mayann Wei'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

June 25, 2025 - Present

ASHTON THOMAS PRIVATE WEALTH

Office #1: 580 California Street 12th Floor, San Francisco, CA 94104

RIA

CRD#: 153902

San Francisco, CA

Current

June 24, 2025 - Present

ASHTON THOMAS SECURITIES, LLC

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

RIA

CRD#: 16629

Rochester, NY

Past

April 12, 2022 - June 26, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PALO ALTO, CA

Past

March 21, 2022 - June 26, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PALO ALTO, CA

Past

January 4, 2022 - April 12, 2022

MCG SECURITIES LLC

CRD#: 163144

WAYNE, PA

Past

November 2, 2020 - May 25, 2021

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

CRD#: 154559

SALT LAKE CITY, UT

Past

November 13, 2009 - December 4, 2018

WELLS FARGO SECURITIES, LLC

CRD#: 126292

SAN FRANCISCO, CA

Past

December 19, 2008 - November 18, 2009

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

April 23, 2008 - December 22, 2008

WELLS FARGO INSTITUTIONAL SECURITIES, LLC

CRD#: 5958

SAN FRANCISCO, CA

Past

May 2, 2001 - April 23, 2008

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

December 22, 1999 - May 2, 2001

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

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 PRIVATE WEALTH

CRD#: 153902 / SEC#: 801-71512

RIA

Registered Investment Advisory firm - (6/15/2010 Approved)

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

California
(6/24/2025)

IAR

California
(6/25/2025)

IAR

Florida
(7/7/2025)

Iowa
(6/24/2025)

IAR

Iowa
(6/25/2025)

IAR

Massachusetts
(7/10/2025)

IAR

New York
(7/2/2025)

Oregon
(6/24/2025)

IAR

Oregon
(7/2/2025)

Washington
(6/24/2025)

IAR

Washington
(6/26/2025)

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: 4/11/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/30/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/21/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/17/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ASHTON THOMAS PRIVATE WEALTH

CRD#: 153902 / SEC#: 801-71512

RIA

Registered Investment Advisory firm - (6/15/2010 Approved)

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Contact information

Main Address

8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260

Mailing Address

Phone number

(602) 732-4745

Established

Firm type

Fiscal year end

# of Employees

114

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A, APPENDIX 1 WRAP FEE PROGRAM BROCHURE (5/5/2025)

ADV PART 2A FIRM BROCHURE (5/5/2025)

Regulatory assets under management

Total Number of Accounts	6,733
AUM (Assets Under Management)	$ 4,051,333,740

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

Stephanie M. Wei

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephanie Mayann Wei's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASHTON THOMAS SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MCG SECURITIES LLC

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

WELLS FARGO SECURITIES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INSTITUTIONAL SECURITIES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO SECURITIES INC.

Primary Firm SEC Registration

ASHTON THOMAS PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 4/11/2022

Series 63

Date: 12/30/1999

Series 57TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/21/1999

Series 24

Date: 9/17/2009

FINRA

Current Firm

ASHTON THOMAS PRIVATE WEALTH

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASHTON THOMAS PRIVATE WEALTH

TRUST BUT VERIFY

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