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CA

Cody L. Ashton

TRITON WEALTH MANAGEMENT, PLLC
Sun City, AZ 85351
Some features on this profile are disabled
CRD#: 5493790
CA

Professional summary

Cody Lee Ashton, who also goes by Cody Ashton, is a registered financial advisor currently at TRITON WEALTH MANAGEMENT, PLLC located in Sun City, Arizona.

Cody is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Cody has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Cody Ashton

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. Triton Wealth Management; INVESTMENT RELATED; 13211 N. 103RD AVE SUITE #4 SUN CITY, AZ 85351; RIA; FINANCIAL ADVISOR INVESTMENT RELATED; 10/2016; 120 HOURS/MONTH; 8 HOURS DURING TRADING HOURS 2. Fixed Insurance. Not Investment Related. 18369 West Carmen Drive, Surprise, AZ 85388. Fixed Insurance Sales. Agent. 03/2008. 1 Hr/Mo; 0 During Trading Hours. 3. Ashton Financial DBA. investment related through Triton Financial. 100% owner. 9/2010. passthrough to Triton hrs/month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cody Lee Ashton'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 23, 2018 - Present

TRITON WEALTH MANAGEMENT, PLLC

Office #1: 13211 N 103rd Ave, Ste. 4, Sun City, AZ 85351
RIA
CRD#: 291070
Sun City, AZ
Past

August 22, 2019 - April 17, 2023

LEIGH BALDWIN & CO., LLC

BD
CRD#: 38751
Sun City, AZ
Past

October 31, 2016 - January 31, 2019

KINGSVIEW WEALTH MANAGEMENT, LLC

RIA
CRD#: 148107
Sun City, AZ
Past

October 14, 2016 - September 5, 2019

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Sun City, AZ
Past

December 20, 2010 - October 10, 2016

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
SUN CITY, AZ
Past

September 2, 2010 - October 10, 2016

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
SUN CITY, AZ
Past

May 12, 2008 - September 3, 2010

EDWARD JONES

RIA
CRD#: 250
SUN CITY, AZ
Past

April 14, 2008 - September 3, 2010

EDWARD JONES

BD
CRD#: 250
SUN CITY, 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".
TW
TRITON WEALTH MANAGEMENT, PLLC
ROXBURY ADVISORS LLC | TRITON WEALTH MANAGEMENT, PLLC

CRD#: 291070 / SEC#: 801-114305

RIA
Registered Investment Advisory firm - (11/16/2018 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
(11/23/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/24/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/11/2008
General Securities Representative Examination

Current Firm

TW
TRITON WEALTH MANAGEMENT, PLLC
ROXBURY ADVISORS LLC | TRITON WEALTH MANAGEMENT, PLLC

CRD#: 291070 / SEC#: 801-114305

RIA
Registered Investment Advisory firm - (11/16/2018 Approved)
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Contact information

Main Address
13211 N 103rd Ave Suite 4, Sun City, AZ 85351
Mailing Address
Phone number
(623) 209-0850
Established
Firm type
Fiscal year end
# of Employees
9

SEC notice filing (14 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts1,373
AUM (Assets Under Management)$ 379,504,905

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.

Company Information

TRITON WEALTH MANAGEMENT, PLLC

CRD#: 291070Sun City, AZ 85351

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