RL
Robert J. Lee
ASHTON THOMAS SECURITIES
ROCHESTER, NY 14606
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CRD#: 4132826
RL
Robert James LeeASHTON THOMAS SECURITIES
Professional summary
Robert James Lee is a registered financial advisor currently at ASHTON THOMAS SECURITIES, LLC located in Rochester, New York.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Robert has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Robert James Lee's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert James Lee'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
September 1, 2021 - Present
ASHTON THOMAS SECURITIES, LLC
Office #1: 2243 Lyell Ave, Rochester, NY 14606RIA
BD
CRD#: 16629
ROCHESTER, NY
Current
June 23, 2011 - Present
ASHTON THOMAS SECURITIES, LLC
Office #1: 2243 Lyell Ave, Rochester, NY 14606RIA
BD
CRD#: 16629
ROCHESTER, NY
Past
February 21, 2000 - June 30, 2011
ENSEMBLE FINANCIAL SERVICES, INC.
BD
CRD#: 17443
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 | ERB FINANCIAL SERVICES | CHEEVERS HAND & ANGELINE 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)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
Colorado(6/23/2011)
RR
Hawaii(5/11/2017)
RR
Mississippi(7/14/2016)
RR
New York(6/23/2011)
IAR
New York(9/1/2021)
RR
Rhode Island(1/8/2025)
RR
Virginia(6/23/2011)
Exams
What does exam status mean?
State Security Law Exam
General Industry/Product Exam
General 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 | ERB FINANCIAL SERVICES | CHEEVERS HAND & ANGELINE 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)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
100 Meridian Centre Blvd Suite 250, Rochester, NY 14618
Mailing Address
100 Meridian Centre Blvd Suite 250, Rochester, NY 14618
Phone number
(602) 732-4745
Established
Delaware since 01/08/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
46
SEC notice filing (46 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,282 |
| AUM (Assets Under Management) | $ 1,859,651,619 |
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 14606TRUST BUT VERIFY
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