AB
Aaron P. Brodt
ASHTON THOMAS PRIVATE WEALTH
SCOTTSDALE, AZ 85260
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CRD#: 5017914
AB
Professional summary
Aaron Paul Brodt, CIMA®, who also goes by Aaron Paul Brodt, is a registered financial advisor currently at ASHTON THOMAS PRIVATE WEALTH located in Scottsdale, Arizona.
Aaron is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Aaron has worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Aaron Paul Brodt
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) GFA WEALTH DESIGN, SCOTTSDALE, AZ, MEMBER/OWNER, NATURE OF BUSINESS: INSURANCE SALES, 0 HOURS PER WEEK. NOT INVESTMENT-RELATED.(2) GFA PRIVATE CAPITAL, LLC, SCOTTSDALE, AZ; MEMBER; START DATE: 09/12/2007; INACTIVE LLC SET UP FOR POSSIBLE FUTURE BUSINESS PURPOSES NOT INVESTMENT RELATED (3) LIQUID SOL MUSIC FESTIVAL, LLC, MINORITY MEMBER, PHX, AZ; NOT SECURITIES RELATED; 0 HOURS PER WEEK START DATE: 09/2013; THIS LLC HAS NO ACTIVE BUSINESS. (4) CROUSE FAMILY LLC, SCOTTSDALE, AZ, NOT INVESTMENT-RELATED. HOLDING COMPANY FOR LAND IN MONTANA, 0 HOURS PER WEEK. (5) AMPLIFY VENTURES GROUP, SCOTTSDALE, AZ; MEMBER/OWNER, START DATE 11/2023; INVESTMENT-RELATED, 0 HOURS PER WEEK. (6) HANA HOLDINGS, LLC, SCOTTSDALE, AZ; MEMBER/OWNER, START DATE 09/2017; NOT INVESTMENT-RELATED, 0 HOURS A WEEK.
CRS (Client Relationship Summary) - RIA
Click below to view Aaron Paul Brodt'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®
Experience
Current
June 15, 2010 - Present
ASHTON THOMAS PRIVATE WEALTH
Office #1: 8605 E Raintree Drive Suite 280, Scottsdale, AZ 85260RIA
CRD#: 153902
SCOTTSDALE, AZ
Past
July 1, 2016 - August 20, 2018
PEACHCAP SECURITIES, INC.
BD
CRD#: 25590
Scottsdale, AZ
Past
February 22, 2012 - May 13, 2016
ACCELERATED CAPITAL GROUP
BD
CRD#: 41270
SCOTTSDALE, AZ
Past
June 4, 2008 - March 28, 2011
THE PLANNING GROUP
RIA
CRD#: 113887
SCOTTSDALE, AZ
Past
May 13, 2008 - February 21, 2012
MERIDIAN UNITED CAPITAL, LLC
BD
CRD#: 122924
SCOTTSDALE, AZ
Past
September 26, 2005 - June 17, 2008
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
RIA
CRD#: 132070
SCOTTSDALE, AZ
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.Highlighted states indicate IAR registrations
IAR
Arizona(6/16/2010)
IAR
Texas(6/15/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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
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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)
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.
