LK
Lance T. Knight
ASHTON THOMAS PRIVATE WEALTH
Las Vegas, NV 89135
Some features on this profile are disabled
CRD#: 4209562
LK
Professional summary
Lance Taylor Knight is a registered financial advisor currently at ASHTON THOMAS PRIVATE WEALTH located in Las Vegas, Nevada and M. S. HOWELLS & CO. located in Las Vegas, Nevada.
Lance is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Lance has worked at 8 firms and has passed the Series 66, SIE, Series 31 and Series 7 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) MARCH 2003; ASHTON THOMAS INSURANCE AGENCY, SCOTTSDALE, AZ; INVESTMENT RELATED; INSURANCE AGENT; DEVOTE 2 HRS/MONTH, 0 DURING MARKET HOURS 2) JULY 2018; ASHTON THOMAS PRIVATE WEALTH, LLC, LAS VEGAS, NV; INVESTMENT RELATED INDEPENDENT FINANCIAL ADVISOR; MANAGING WEALTH ADVISOR; DEVOTE 160 HOURS PER MONTH DURING MARKET HOURS. 3) JAN. 2016; ST. JUDES RANCH FOR CHILDREN; BOULDER CITY, NV; NON INVESTMENT RELATED; CHAIRMAN OF THE BOARD FOR NON-PROFIT CHARITY; DEVOTE 30 HRS/MO, 1HR/DAY DURING MARKET HOURS. 4)Gallant Endeavors, LLC, Investment Related, 10777 W. Twain Ave., Suite 225,89135, Personal Holding company, Managing Member, 07/18, 1 hour. 5) Knight Investment Properties, LLC, Not Investment Related, PO. Box 57713, Salt Lake City, 89157, Family Real Estate, Member 01/1993,0 hours
CRS (Client Relationship Summary) - RIA
Click below to view Lance Taylor Knight'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
July 17, 2018 - Present
ASHTON THOMAS PRIVATE WEALTH
Office #1: 10777 W. Twain Ave. Suite 225, Las Vegas, NV 89135RIA
CRD#: 153902
Las Vegas, NV
Current
December 13, 2016 - Present
M. S. HOWELLS & CO.
Office #1: 10777 Twain Avenue, Las Vegas, NV 89135BD
CRD#: 104100
Las Vegas, NV
Past
December 8, 2016 - December 9, 2016
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAS VEGAS, NV
Past
July 9, 2010 - December 8, 2016
FOOTHILL SECURITIES, INC.
BD
CRD#: 1027
LAS VEGAS, NV
Past
May 3, 2010 - July 7, 2010
HEADWATERS BD, LLC
BD
CRD#: 117042
LAS VEGAS, NV
Past
June 17, 2009 - July 23, 2018
CAPITAL INSIGHT PARTNERS, LLC
RIA
CRD#: 147165
LAS VEGAS, NV
Past
June 12, 2009 - April 30, 2010
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
LAS VEGAS, NV
Past
September 25, 2000 - June 15, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LAS VEGAS, NV
Past
August 16, 2000 - June 15, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LAS VEGAS, NV
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 PRIVATE WEALTH
AMPLIFY PLATFORM | SECOND 50 FINANCIAL | NORTE ADVISORS, LLC | MILL STREET FINANCIAL | JAY R. PENNEY, LLC | GENTRY WEALTH MANAGEMENT | GENTRY ASSET ADVISORY LLC | FORGE PRIVATE WEALTH | CAMPBELL PRIVATE WEALTH MANAGEMENT | ASHTON THOMAS PRIVATE WEALTH, LLC | ASHTON THOMAS PRIVATE WEALTH | ASHTON THOMAS
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.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
Arizona(12/13/2016)
IAR
Arizona(7/31/2018)
RR
California(12/13/2016)
RR
Minnesota(1/23/2017)
RR
Montana(6/1/2022)
RR
Nevada(1/11/2017)
IAR
Nevada(7/27/2018)
RR
Pennsylvania(8/29/2021)
RR
Utah(12/13/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
AT
ASHTON THOMAS PRIVATE WEALTH
AMPLIFY PLATFORM | SECOND 50 FINANCIAL | NORTE ADVISORS, LLC | MILL STREET FINANCIAL | JAY R. PENNEY, LLC | GENTRY WEALTH MANAGEMENT | GENTRY ASSET ADVISORY LLC | FORGE PRIVATE WEALTH | CAMPBELL PRIVATE WEALTH MANAGEMENT | ASHTON THOMAS PRIVATE WEALTH, LLC | ASHTON THOMAS PRIVATE WEALTH | ASHTON THOMAS
CRD#: 153902 / SEC#: 801-71512
RIA
Registered Investment Advisory firm - (6/15/2010 Approved)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
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)
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.
