LA
Levi A. Ashley
STRATEGIC ADVISERS LLC
MIDDLE GROVE, NY
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CRD#: 6781900
LA
Professional summary
Levi A Ashley, who also goes by Levi A Ashley, Levi Allen Ashley, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Middle Grove, New York and FIDELITY BROKERAGE SERVICES LLC located in Albany, New York.
Levi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Levi has worked at 6 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Levi A Ashley | Levi Allen Ashley
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.
I*137109 For profit or not for profit: For-Profit Organization Name of outside business organization: Ashley Roofing Investment related: N Address of business: Clifton Park, New York 12065 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 7/15/2020 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Residential roofing contractor. I am the owner and perform labor as well.
CRS (Client Relationship Summary) - RIA
Click below to view Levi A Ashley's 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®
NoneExperience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 59 Wolf Rd, Albany, NY 12205-2606RIA
CRD#: 104555
MIDDLE GROVE, NY
Current
November 10, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 59 Wolf Rd, Albany, NY 12205-2606BD
CRD#: 7784
Albany, NY
Past
November 17, 2022 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
ALBANY, NY
Past
April 12, 2021 - October 31, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SARATOGA SPRINGS, NY
Past
April 12, 2021 - October 31, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SARATOGA SPRINGS, NY
Past
December 21, 2020 - March 10, 2021
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
ALBANY, NY
Past
April 26, 2019 - March 25, 2020
MORGAN STANLEY
RIA
CRD#: 149777
ONEONTA, NY
Past
April 4, 2019 - March 25, 2020
MORGAN STANLEY
BD
CRD#: 149777
ONEONTA, NY
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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
California(4/3/2023)
RR
Connecticut(4/3/2023)
RR
District of Columbia(4/3/2023)
RR
Florida(4/3/2023)
RR
Illinois(1/25/2024)
RR
Iowa(12/19/2024)
RR
Maine(4/3/2023)
RR
Massachusetts(4/3/2023)
RR
New Hampshire(4/3/2023)
RR
New Jersey(4/3/2023)
RR
New York(11/10/2022)
IAR
New York(3/31/2025)
RR
North Carolina(4/3/2023)
RR
Pennsylvania(4/3/2023)
RR
Rhode Island(9/17/2024)
RR
South Carolina(12/4/2024)
RR
Texas(4/3/2023)
IAR
Texas(3/31/2025)
RR
Vermont(4/3/2023)
RR
Virginia(11/16/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/4/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
