Susan E. Register

ASHTON THOMAS SECURITIES

Boston, MA 02109

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CRD#: 7321749

Professional summary

Susan E Register, who also goes by Susan Elizabeth Register, is a registered financial professional currently at ASHTON THOMAS SECURITIES, LLC located in Boston, Massachusetts.

Susan is registered as a RR (Registered Representative) and started their career in finance in 2023. Susan has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Susan Elizabeth Register

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 Susan E Register'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 12, 2024 - Present

ASHTON THOMAS SECURITIES, LLC

Office #1: 53 State Street, Suite 1301, Boston, MA 02109

RIA

CRD#: 16629

Boston, MA

Past

November 20, 2023 - January 18, 2024

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

Boston, MA

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 SECURITIES, LLC

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)

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

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

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

California
(1/12/2024)

Colorado
(1/12/2024)

Connecticut
(1/12/2024)

Delaware
(1/12/2024)

District of Columbia
(1/12/2024)

Florida
(1/12/2024)

Idaho
(1/12/2024)

Illinois
(1/12/2024)

Louisiana
(1/12/2024)

Maine
(1/12/2024)

Maryland
(1/12/2024)

Massachusetts
(1/12/2024)

Missouri
(1/12/2024)

New Hampshire
(1/12/2024)

New Jersey
(1/12/2024)

New York
(1/12/2024)

North Carolina
(1/18/2024)

Oklahoma
(1/12/2024)

Pennsylvania
(1/12/2024)

Puerto Rico
(1/12/2024)

Rhode Island
(1/12/2024)

South Carolina
(1/12/2024)

Texas
(1/12/2024)

Vermont
(1/12/2024)

Virgin Islands
(1/12/2024)

Virginia
(1/12/2024)

Washington
(1/12/2024)

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: 12/10/2023

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/19/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/14/2023

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

ASHTON THOMAS SECURITIES, LLC

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)

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

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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

SEC notice filing (43 States and Territories)

FINRA licenses (53 States and Territories)

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

Name	Position	CRD#
EXPLORER INVESTMENT HOLDINGS, LLC	MEMBER
BRITT, TERRENCE PATRICK	VICE PRESIDENT / CHIEF OPERATING OFFICER	2165686
JOHNSON, KIMBERLY	CHIEF COMPLIANCE OFFICER	5378831
LANZISERA, JOSEPH ANTHONY	PRESIDENT AND CHIEF FINANCIAL OFFICER	1052572

Regulatory assets under management

Total Number of Accounts	2,599
AUM (Assets Under Management)	$ 1,717,957,312

Disclosures

Regulatory Event	4
Arbitration	2

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

Susan E. Register

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Susan E Register's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES & ASSOCIATES, INC.

Primary Firm SEC Registration

ASHTON THOMAS SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/10/2023

Series 7TO

Date: 11/19/2023

SIE

Date: 8/14/2023

FINRA

Current Firm

ASHTON THOMAS SECURITIES, LLC

Contact information

SEC notice filing (43 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ASHTON THOMAS SECURITIES, LLC

TRUST BUT VERIFY

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