Aileen F. Defroda

ASHTON THOMAS SECURITIES

Wilmington, DE

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CRD#: 5410978

Professional summary

Aileen F Defroda, who also goes by Aileen Fern Defroda, Aileen Fern Dimmer, is a registered financial advisor currently at ASHTON THOMAS SECURITIES, LLC located in Wilmington, Delaware.

Aileen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Aileen has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, Series 79TO, SIE, Series 7, Series 6, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Aileen Fern Defroda | Aileen Fern Dimmer

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. REALTA INVESTMENT ADVISORS, INC.; WILMINGTON, DE; INVESTMENT ADVISORY SERVICES, INVESTMENT ADVISOR REPRESENTATIVE; WWW.REALTAWEALTH.COM; COMPENSATION IN THE FOR OF FEES; 40 HOURS PER WEEK DURING NORMAL TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aileen F Defroda's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Aileen F Defroda'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

October 21, 2024 - Present

ASHTON THOMAS SECURITIES, LLC

RIA

CRD#: 16629

Wilmington, DE

Current

October 7, 2024 - Present

ASHTON THOMAS SECURITIES, LLC

Office #1: 200 Canal View Blvd. Ste. 204, Rochester, NY 14623

RIA

CRD#: 16629

Rochester, NY

Past

August 13, 2018 - October 2, 2024

REALTA INVESTMENT ADVISORS, INC

RIA

CRD#: 134952

WILMINGTON, DE

Past

August 8, 2018 - October 2, 2024

REALTA EQUITIES, INC.

CRD#: 23769

WILMINGTON, DE

Past

December 15, 2015 - August 9, 2018

CAPITAL ONE ADVISORS, LLC

RIA

CRD#: 136865

Wilmington, DE

Past

December 15, 2015 - August 9, 2018

CAPITAL ONE INVESTING, LLC

CRD#: 45744

MCLEAN, VA

Past

January 5, 2015 - December 9, 2015

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

Greenville, DE

Past

January 5, 2015 - December 9, 2015

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

Greenville, DE

Past

March 30, 2009 - January 6, 2015

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

WILMINGTON, DE

Past

September 10, 2007 - January 6, 2015

INVEST FINANCIAL CORPORATION

CRD#: 12984

WILMINGTON, DE

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.

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
(10/7/2024)

IAR

Arizona
(10/23/2024)

Delaware
(10/21/2024)

IAR

Delaware
(10/21/2024)

New York
(10/7/2024)

IAR

New York
(10/21/2024)

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: 3/27/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/2/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 12/1/2021

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/3/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/7/2007

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 4

Date: 11/14/2016

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 10/15/2014

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/19/2008

General Securities Principal Examination

SRO Registrations

FINRA

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)

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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.

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Firm Stability Insights

Aileen F. Defroda

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aileen F Defroda's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Aileen F Defroda's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASHTON THOMAS SECURITIES, LLC

REALTA INVESTMENT ADVISORS, INC

REALTA EQUITIES, INC.

CAPITAL ONE ADVISORS, LLC

CAPITAL ONE INVESTING, LLC

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

Primary Firm SEC Registration

ASHTON THOMAS SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/27/2009

Series 63

Date: 11/2/2007

Series 52TO

Date: 1/2/2023

Series 79TO

Date: 12/1/2021

SIE

Date: 10/1/2018

Series 7

Date: 10/3/2008

Series 6

Date: 9/7/2007

Series 4

Date: 11/14/2016

Series 53

Date: 10/15/2014

Series 24

Date: 12/19/2008

FINRA

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

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