Brandon J. Cromer

ASHTON THOMAS PRIVATE WEALTH

Scottsdale, AZ 85260

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CRD#: 4983444

Professional summary

Brandon J Cromer, who also goes by Brandon James Cromer, is a registered financial advisor currently at ASHTON THOMAS PRIVATE WEALTH located in Scottsdale, Arizona and ASHTON THOMAS SECURITIES, LLC located in Scottsdale, Arizona.

Brandon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Brandon has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brandon James Cromer

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; 8605 E RAINTREE DRIVE, SUITE 280, SCOTTSDALE, AZ 85260; INVESTMENT RELATED; RIA; PORTFOLIO MANAGER AND TRADER; 10/2022MANAGE PORTFOLIOS, BUY AN SELL SECURITIES; DEVOTE 80 HRS/MONTH DURING MARKET HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brandon J Cromer'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

November 12, 2024 - Present

ASHTON THOMAS PRIVATE WEALTH

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

RIA

CRD#: 153902

Scottsdale, AZ

Current

October 10, 2024 - Present

ASHTON THOMAS SECURITIES, LLC

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

RIA

CRD#: 16629

Scottsdale, AZ

Past

October 23, 2024 - November 22, 2024

ASHTON THOMAS SECURITIES, LLC

RIA

CRD#: 16629

ROCHESTER, NY

Past

October 17, 2022 - October 15, 2024

M. S. HOWELLS & CO.

CRD#: 104100

SCOTTSDALE, AZ

Past

February 3, 2021 - October 19, 2022

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

RIA

CRD#: 106753

Naples, FL

Past

June 27, 2019 - November 19, 2020

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Phoenix, AZ

Past

February 10, 2006 - August 7, 2018

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

Past

November 14, 2005 - November 18, 2005

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHOENIX, AZ

Past

July 28, 2005 - August 24, 2005

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

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

Arizona
(10/10/2024)

IAR

Arizona
(11/12/2024)

New York
(10/10/2024)

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 65

Date: 12/30/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/2/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 10/16/2024

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/7/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/8/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/27/2005

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 2/10/2025

Municipal 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

Brandon J. Cromer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brandon J Cromer's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASHTON THOMAS SECURITIES, LLC

ASHTON THOMAS SECURITIES, LLC

M. S. HOWELLS & CO.

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

CHARLES SCHWAB & CO., INC.

VANGUARD MARKETING CORPORATION

TRANSAMERICA FINANCIAL ADVISORS, LLC

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

ASHTON THOMAS PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 12/30/2020

Series 63

Date: 8/2/2005

Series 52TO

Date: 10/16/2024

SIE

Date: 8/7/2018

Series 7

Date: 1/8/2008

Series 6

Date: 7/27/2005

Series 53

Date: 2/10/2025

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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