Richard T. Westhelle

ASHTON THOMAS PRIVATE WEALTH

New York, NY 10022

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CRD#: 5741905

Professional summary

Richard Thomas Westhelle, CFP®, who also goes by Richard Westhelle, is a registered financial advisor currently at ASHTON THOMAS PRIVATE WEALTH located in New York, New York.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Richard has worked at 9 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard Westhelle

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) - RIA

Click below to view Richard Thomas Westhelle'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®

CFP^®

Certified Financial Planner

Start date: 2016

Experience

Current

August 8, 2024 - Present

ASHTON THOMAS PRIVATE WEALTH

Office #1: 10 E 53rd Street Suite 1400, New York, NY 10022

RIA

CRD#: 153902

New York, NY

Past

August 8, 2024 - December 31, 2024

ASHTON THOMAS ADVISORS LLC

RIA

CRD#: 329492

Monticello, AR

Past

July 1, 2022 - August 9, 2024

ADVISORS CAPITAL MANAGEMENT, LLC

RIA

CRD#: 112266

Monticello, AR

Past

July 1, 2020 - July 28, 2022

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

PARAMUS, NJ

Past

July 1, 2020 - July 28, 2022

GOLDMAN SACHS & CO. LLC

CRD#: 361

Paramus, NJ

Past

November 1, 2017 - June 30, 2020

CETERA WEALTH SERVICES, LLC

CRD#: 13572

PARAMUS, NJ

Past

May 27, 2013 - November 1, 2017

GIRARD SECURITIES, INC.

CRD#: 18697

PARAMUS, NJ

Past

May 3, 2012 - July 28, 2022

UNITED CAPITAL FINANCIAL ADVISORS

RIA

CRD#: 134600

PARAMUS, NJ

Past

January 15, 2010 - April 27, 2012

STONEGATE WEALTH MANAGEMENT, LLC

RIA

CRD#: 121412

CARY, NC

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.

Highlighted states indicate IAR registrations

IAR

Arkansas
(8/8/2024)

IAR

Florida
(8/10/2024)

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.

Exams

State Security Law Exam

Series 63

Date: 12/20/2014

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/14/2010

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/25/2013

General Securities Representative Examination

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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Firm Stability Insights

Richard T. Westhelle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Thomas Westhelle's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASHTON THOMAS ADVISORS LLC

ADVISORS CAPITAL MANAGEMENT, LLC

MERCER ALLIED COMPANY, L.P.

GOLDMAN SACHS & CO. LLC

CETERA WEALTH SERVICES, LLC

GIRARD SECURITIES, INC.

UNITED CAPITAL FINANCIAL ADVISORS

STONEGATE WEALTH MANAGEMENT, LLC

Primary Firm SEC Registration

ASHTON THOMAS PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 63

Date: 12/20/2014

Series 65

Date: 1/14/2010

SIE

Date: 10/1/2018

Series 7

Date: 5/25/2013

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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