Ashton Thomas Securities
Providing full-spectrum capability to wealth advisors and clients
A Brief History
Ashton Thomas Securities is a new name for a company with a notable legacy. Excel Securities opened its doors in 1978 and first registered with FINRA as a broker-dealer in 1985. Excel Securities became Ashton Thomas Securities after it was acquired by Ashton Thomas, an Arax Investment Partners firm, in 2023.
Founded by the Lanzisera family in upstate New York, Excel was established to facilitate securities trading and related services for a handful of registered representatives and their retail clients with a dedication to integrity and personalized service. As the company’s footprint expanded, additional services and solutions were added through the years.
Today, Ashton Thomas Securities carries on that commitment to building trust and providing quality service as a full-spectrum independent broker-dealer within the Ashton Thomas ecosystem.
Solutions and Products
Private Placements
Variable Life and Annuities
Direct Mutual Funds
Real Estate Investment Trusts
1031 Exchange Programs
Brokered Transactions
News & Insights
Variable Life Insurance and Annuities: Understanding the Balance of Risk and Reward
For investors seeking a combination of market growth, long-term financial security, and tax advantages, variable insurance products can offer an intriguing solution. These products, which include variable life insurance and variable annuities, allow policyholders to invest in market-based subaccounts while providing benefits such as tax deferral, lifetime income options, and death benefits. Variable Life Insurance: Growth and Protection in One […]
Private Placements: A Guide for Sophisticated Investors
For investors accustomed to publicly traded assets, private placements offer an alternative path to diversification and potential high returns. Unlike stocks and bonds available on major exchanges, private placements involve direct investment in companies, real estate projects, or private debt markets, typically before they are accessible to the general public. Because of their complexity and risk, these investments […]
Regulation Best Interest (Reg BI): What It Means for Investors and Advisors
When the SEC introduced Regulation Best Interest (Reg BI) in 2020, it marked a significant shift in the standards governing financial advice. Designed to enhance investor protection, Reg BI raises the bar for broker-dealers, requiring them to act in their clients’ best interests when making investment recommendations. Before Reg BI, broker-dealers operated under a “suitability” […]
Committed to Serving You with Integrity
Connect with our team at Ashton Thomas Securities to learn more about the services and solutions we offer that support sophisticated investors and the Wealth Advisors who have committed to serving them.