Mary Ann Zygas

Some features on this profile are disabled

CRD#: 4390801

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Mary Ann Zygas, who also goes by Mary Ann Chapman, Mary Ann Nichols, Mary Ann Zygas, was a registered financial professional .

Mary Ann is a previously registered financial professional and started their career in finance in 2001. Mary Ann had worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mary Ann Chapman | Mary Ann Nichols | Mary Ann Zygas

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 23, 2021 - February 14, 2025

ASHTON THOMAS SECURITIES, LLC

CRD#: 16629

ROCHESTER, NY

Past

November 30, 2017 - July 1, 2021

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

Liverpool, NY

Past

September 11, 2014 - October 17, 2017

CADARET, GRANT & CO., INC.

CRD#: 10641

East Syracuse, NY

Past

March 5, 2012 - April 1, 2013

NYLIFE SECURITIES LLC

CRD#: 5167

DEWITT, NY

Past

July 21, 2008 - August 31, 2011

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

SYRACUSE, NY

Past

January 12, 2007 - July 13, 2007

EQUITABLE ADVISORS, LLC

CRD#: 6627

SYRACUSE, NY

Past

October 12, 2004 - November 20, 2006

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

MINOA, NY

Past

May 15, 2001 - June 22, 2004

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 6/8/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/7/2001

Investment Company Products/Variable Contracts Representative Examination

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mary Ann Zygas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

CADARET, GRANT & CO., INC.

NYLIFE SECURITIES LLC

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

EQUITABLE ADVISORS, LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

ASHTON THOMAS SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/8/2001

SIE

Date: 10/1/2018

Series 6

Date: 5/7/2001

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