Daniel E. Fontenot

ASHTON THOMAS PRIVATE WEALTH

Helena, MT 59601

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CRD#: 7408400

Professional summary

Daniel Eric Fontenot, who also goes by Daniel Fontenot, Eric Fontenot, is a registered financial advisor currently at ASHTON THOMAS PRIVATE WEALTH located in Helena, Montana and ASHTON THOMAS SECURITIES, LLC located in Rochester, New York.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Daniel has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel Fontenot | Eric Fontenot

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; Client Service Associate; 5/2023; 40 hours/week.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Eric Fontenot'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

October 11, 2023 - Present

ASHTON THOMAS PRIVATE WEALTH

Office #1: 825 Great Northern Blvd., Suite 201, Helena, MT 59601

RIA

CRD#: 153902

Helena, MT

Current

December 18, 2024 - Present

ASHTON THOMAS SECURITIES, LLC

Office #1: 200 Canal View Blvd. Ste. 204, Rochester, NY 14623

RIA

CRD#: 16629

Rochester, NY

Past

August 18, 2021 - May 17, 2023

J.P. MORGAN SECURITIES LLC

CRD#: 79

Helena, MT

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 PRIVATE WEALTH

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.

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

Arizona
(12/18/2024)

IAR

Montana
(10/11/2023)

Montana
(12/18/2024)

New York
(12/18/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/3/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/2/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 8/18/2021

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 8/4/2021

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

ASHTON THOMAS PRIVATE WEALTH

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 (35 States and Territories)

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 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.

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Advisor Monitoring

Firm Stability Insights

Daniel E. Fontenot

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Eric Fontenot's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASHTON THOMAS SECURITIES, LLC

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

ASHTON THOMAS PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 10/3/2023

Series 63

Date: 11/2/2021

Series 6TO

Date: 8/18/2021

SIE

Date: 8/4/2021

FINRA

Current Firm

ASHTON THOMAS PRIVATE WEALTH

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASHTON THOMAS PRIVATE WEALTH

TRUST BUT VERIFY

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