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CQ

Christopher A. Quincy

ASHTON THOMAS PRIVATE WEALTH
Scottsdale, AZ 85260
Some features on this profile are disabled
CRD#: 6378843
CQ

Professional summary

Christopher A Quincy, who also goes by Christopher A Quincy, Christopher Andrew Quincy, is a registered financial advisor currently at ASHTON THOMAS PRIVATE WEALTH located in Scottsdale, Arizona and ASHTON THOMAS SECURITIES, LLC located in Rochester, New York.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Christopher has worked at 4 firms and has passed the Series 66, SIE, Series 52, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Christopher A Quincy | Christopher Andrew Quincy

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 Christopher A Quincy'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 13, 2025 - Present

ASHTON THOMAS PRIVATE WEALTH

Office #1: 8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260
RIA
CRD#: 153902
Scottsdale, AZ
Current

November 11, 2025 - Present

ASHTON THOMAS SECURITIES, LLC

Office #1: 200 Canal View Blvd. Ste. 204, Rochester, NY 14623
RIA
BD
CRD#: 16629
Rochester, NY
Past

December 7, 2015 - November 26, 2025

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA
CRD#: 20804
SCOTTSDALE, AZ
Past

November 25, 2015 - November 26, 2025

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
SCOTTSDALE, AZ
Past

September 30, 2015 - December 1, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
PHOENIX, AZ
Past

September 1, 2015 - December 1, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
PHOENIX, 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.
RR
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

RR
Arizona
(11/11/2025)
IAR
Arizona
(11/13/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/16/2015
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 52
Date: 2/3/2016
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 9/1/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/27/2016
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/5/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

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)
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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 (37 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, APPENDIX 1 WRAP FEE PROGRAM BROCHURE (5/5/2025)
ADV PART 2A FIRM BROCHURE (5/5/2025)

Regulatory assets under management

Total Number of Accounts6,733
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.

Company Information

ASHTON THOMAS PRIVATE WEALTH

CRD#: 153902Scottsdale, AZ 85260

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