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KN

Kayleigh Nakamura

ASHTON THOMAS SECURITIES
Rochester, NY 14623
Some features on this profile are disabled
CRD#: 6683567
KN

Professional summary

Kayleigh Nakamura, who also goes by Kayleigh Kazue Nakamura, is a registered financial professional currently at ASHTON THOMAS SECURITIES, LLC located in Rochester, New York.

Kayleigh is registered as a RR (Registered Representative) and started their career in finance in 2019. Kayleigh has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kayleigh Kazue Nakamura

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) - BD

Click below to view Kayleigh Nakamura'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

January 15, 2026 - Present

ASHTON THOMAS SECURITIES, LLC

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

September 27, 2021 - March 1, 2022

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
Los Angeles, CA
Past

November 16, 2019 - March 1, 2022

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
Los Angeles, CA

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 SECURITIES, LLC
ASHTON THOMAS SECURITIES, LLC | LANZISERA, JOSEPH ANTHONY | EXCEL SECURITIES & ASSOCIATES,INC. | EXCEL SECURITIES & ASSOCIATES, INC. | EXCEL SECURITIES & ASSOCIATES | EXCEL SECURITIES

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)
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/25/2021
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/18/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/24/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

AT
ASHTON THOMAS SECURITIES, LLC
ASHTON THOMAS SECURITIES, LLC | LANZISERA, JOSEPH ANTHONY | EXCEL SECURITIES & ASSOCIATES,INC. | EXCEL SECURITIES & ASSOCIATES, INC. | EXCEL SECURITIES & ASSOCIATES | EXCEL SECURITIES

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)
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
75

SEC notice filing (44 States and Territories)

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

FINRA licenses (53 States and Territories)

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

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

NamePositionCRD#
EXPLORER INVESTMENT HOLDINGS, LLCMEMBER
BRITT, TERRENCE PATRICKVICE PRESIDENT / CHIEF OPERATING OFFICER2165686
JOHNSON, KIMBERLYCHIEF COMPLIANCE OFFICER5378831
LANZISERA, JOSEPH ANTHONYPRESIDENT AND CHIEF FINANCIAL OFFICER1052572

Regulatory assets under management

Total Number of Accounts2,599
AUM (Assets Under Management)$ 1,717,957,312

Disclosures

Regulatory Event4
Arbitration2

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 SECURITIES, LLC

CRD#: 16629Rochester, NY 14623

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