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C Stafford

Ashton Thomas Securities, LLC
34 Years of Experience
Boston, MA
10 DisclosuresBroker
View SEC Summary
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C Stafford is a registered investment advisor at Ashton Thomas Securities, LLC, based in Boston, MA, with 34 years of industry experience. C is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Corporate Executives, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 2,282 clients with $1.9B in assets under management.

Ashton Thomas Securities, LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
72 advisors
Number of Clients
2,282 clients
Average Client Portfolio
$815K average
Assets Under Management
$1.9B

Fee Structure

Planning is included in investment management
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.99%

Maximum annual advisory fees vary by program: FB1 up to 1.50%, FB2 up to 1.25%, FB3 up to 1.00%, Managed ETF up to 1.50%, Morningstar Portfolios up to 1.50%, and AS8/AS9/Non-wrap/Wrap programs up to 2.99%. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

53 State Street, Suite 1301, Boston, MA, 02109

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History

Regulatory History (10)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
December 2005
Final
Customer Dispute
November 2005
Denied
Customer Dispute
October 2005
Closed-No Action
Customer Dispute
September 2003
Closed-No Action
Customer Dispute
January 2003
Settled
Customer Dispute
July 2002
Award / Judgment
Customer Dispute
June 2001
Settled
Customer Dispute
October 2000
Settled
Customer Dispute
October 1999
Denied
Customer Dispute
October 1998
Withdrawn
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Ashton Thomas Private Wealth
January 2024 - Present · 2 yrs 9 mos
Ashton Thomas Securities, LLCBroker
January 2024 - Present · 2 yrs 9 mos
Ashton Thomas Securities, LLC
January 2024 - Present · 2 yrs 9 mos
Previous Registrations
Raymond James & Associates, INC.
September 2016 - January 2024 · 7 yrs 4 mos
Raymond James & Associates, INC.Broker
September 2016 - January 2024 · 7 yrs 4 mos
Deutsche Bank Securities INC.Broker
September 2005 - September 2016 · 11 yrs
Merrill Lynch Pierce Fenner & Smith INC.
March 1996 - September 2005 · 9 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 1991 - September 2005 · 13 yrs 11 mos
State Registrations32 states
CACOCTDCDEFLIDILLAMAMDMEMIMOMTNCNHNJNVNYOKPAPRRISCSDTNTXVAVTVirgin IslandsWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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