ND
Nicholas J. De La Vara
ASHTON THOMAS PRIVATE WEALTH
Scottsdale, AZ 85260
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CRD#: 7147202
ND
Professional summary
Nicholas Jose De La Vara, who also goes by Nicholas Delavara, Nico Jose De La Vara, is a registered financial advisor currently at ASHTON THOMAS PRIVATE WEALTH located in Scottsdale, Arizona and ASHTON THOMAS SECURITIES, LLC located in Scottsdale, Arizona.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Nicholas has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas Delavara | Nico Jose De La Vara
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) Ashton Thomas Private Wealth, LLC; Yes, Investment Related; 8605 E Raintree Drive, Suite 280, Scottsdale, AZ 85260; Investment Advisory Firm; Wealth Advisor; December 2021; 40 hrs/week during market hours. 2) Homestart (Helios Realty Team); Not Investment Related; Scottsdale, AZ; Real Estate Sales; Real Estate Agent; July 2022; 20 hrs/month during non-market hours. 3. Ashton Thomas Insurance Agency, LLC; Not Investment Related; 8605 East Raintree Drive, Suite 280, Scottsdale, AZ 85260; Insurance Sales; Insurance agent; March 2024; 10 hrs/month during non-market hours.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Jose De La Vara'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 16, 2023 - Present
ASHTON THOMAS PRIVATE WEALTH
Office #1: 8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260RIA
CRD#: 153902
Scottsdale, AZ
Current
December 10, 2024 - Present
ASHTON THOMAS SECURITIES, LLC
Office #1: 8605 E. Raintree Drive Suite# 280, Scottsdale, AZ 85260Office #2: 200 Canal View Blvd. Ste. 204, Rochester, NY 14623RIA
BD
CRD#: 16629
Scottsdale, AZ
Past
January 7, 2022 - December 13, 2024
M. S. HOWELLS & CO.
BD
CRD#: 104100
SCOTTSDALE, AZ
Past
October 25, 2019 - December 21, 2021
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
SCOTTSDALE, 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
IAR
Arizona(3/16/2023)
RR
Arizona(12/10/2024)
IAR
Florida(7/10/2024)
RR
New York(12/10/2024)
IAR
Texas(11/30/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/25/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
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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)
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.
