Filer Snapshot

ASHTON THOMAS SECURITIES, LLC SEC EDGAR Filings

SEC filings, ownership reports, and insider transactions for CIK 0000771572.

Entity Type

Company

Total Filings

40

Latest Filing

02 Mar 2026

Industry

n/a

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Source: SEC filing X-17A-5

X-17A-5 filed on 02 Mar 2026 for CIK 0000771572.

View Source Filing
Business address
200 Canal View Blvd., Ste. 204, Rochester, NY, 14623
Top securities (13F)
VOO, OMFL, NVDA, XLG, MSFT, VEA, IMFL, META, AAPL, AMZN, GOOGL, VCIT, VTEB, DYNF, DBMF, BRKB, GTO, FMHI, TSLA, and MCK
State of incorporation
DE
Fiscal year end
31 December
Former names
EXCEL SECURITIES & ASSOCIATES, INC. (to 22 Mar 2024), EXCEL SECURITIES & ASSOCIATES INC/NY/ /BD (to 06 Feb 2002)

Quick Takeaways

  • ASHTON THOMAS SECURITIES, LLC is an SEC filer tracked under CIK 0000771572.
  • 40 filings are listed on this profile.
  • Common form coverage includes X-17A-5, 13F-HR, FOCUSN and more.

What Changed

  • Latest filing: X-17A-5 filed on 02 Mar 2026.
  • Report period: 31 Dec 2025.

Why This Matters

  • You can quote filing dates and form types directly from the SEC record on this page.
  • Use this profile before deeper ownership or insider analysis to confirm filing history context.

Source Evidence

Source: SEC filing X-17A-5

X-17A-5 filed on 02 Mar 2026 for CIK 0000771572.

View Source Filing

Return Loop

Why revisit this filer page

A newly filed X-17A-5 can change the filing history, ownership context, or next research path for ASHTON THOMAS SECURITIES, LLC.

Latest source-backed update
X-17A-5 filed 02 Mar 2026
Why come back
Revisit after a new SEC filing appears to compare the updated record with prior filings.
  • Latest filing on record: X-17A-5 filed 02 Mar 2026.
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Filer freshness comes from SEC EDGAR submission history and related source-backed ownership or portfolio filings when available.

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Latest update

What changed recently for ASHTON THOMAS SECURITIES, LLC

New filing available

Latest 13F period: Q4 2025. Open the source-backed page to inspect the fresh filing or facts context.

Update date

02 Feb 2026

Page type

Filer profile

Latest period

Q4 2025

Institutional portfolio context was refreshed from a 13F filing filed on 02 Feb 2026.

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Benchmark Context

Benchmark context for this company

ASHTON THOMAS SECURITIES, LLC has a source-backed company facts view where you can compare the latest reported metrics with its own recent history and with peer rankings for the same metric.

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Why this is notable

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Filer Overview

ASHTON THOMAS SECURITIES, LLC has filed 40 SEC EDGAR filings since 06 Feb 2002. Common forms include X-17A-5, 13F-HR, FOCUSN, N-PX.

Latest 13F filings

Latest Filings

Recent SEC filings for ASHTON THOMAS SECURITIES, LLC with direct links to document and filing folders.

Form type Document Filing Description Filing date Reporting date File number(s)
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 02 Mar 2026 31 Dec 2025 008-34261
13F-HR Open 13F-HR document View SEC filing for 13F-HR 02 Feb 2026 31 Dec 2025 028-24293
13F-HR Open 13F-HR document View SEC filing for 13F-HR 27 Oct 2025 30 Sep 2025 028-24293
13F-HR Open 13F-HR document View SEC filing for 13F-HR 21 Jul 2025 30 Jun 2025 028-24293
13F-HR Open 13F-HR document View SEC filing for 13F-HR 15 May 2025 31 Mar 2025 028-24293
FOCUSN Open FOCUSN document View SEC filing for FOCUSN AUTO-GENERATED PAPER DOCUMENT 21 Mar 2025 31 Dec 2024 008-34261
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 21 Mar 2025 31 Dec 2024 008-34261
13F-HR Open 13F-HR document View SEC filing for 13F-HR 11 Feb 2025 31 Dec 2024 028-24293
13F-HR Open 13F-HR document View SEC filing for 13F-HR 04 Nov 2024 30 Sep 2024 028-24293
N-PX Open N-PX document View SEC filing for N-PX 30 Aug 2024 30 Jun 2024 028-24293
13F-HR Open 13F-HR document View SEC filing for 13F-HR 13 Aug 2024 30 Jun 2024 028-24293
FOCUSN Open FOCUSN document View SEC filing for FOCUSN AUTO-GENERATED PAPER DOCUMENT 22 Mar 2024 31 Dec 2023 008-34261
FOCUSN Open FOCUSN document View SEC filing for FOCUSN AUTO-GENERATED PAPER DOCUMENT 15 Feb 2023 31 Dec 2022 008-34261
FOCUSN Open FOCUSN document View SEC filing for FOCUSN AUTO-GENERATED PAPER DOCUMENT 22 Feb 2022 31 Dec 2021 008-34261
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 22 Feb 2022 31 Dec 2021 008-34261
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 26 Feb 2021 30 Dec 2020 008-34261
FOCUSN Open FOCUSN document View SEC filing for FOCUSN AUTO-GENERATED PAPER DOCUMENT 26 Feb 2021 31 Dec 2020 008-34261
FOCUSN Open FOCUSN document View SEC filing for FOCUSN AUTO-GENERATED PAPER DOCUMENT 25 Feb 2020 31 Dec 2019 008-34261
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 25 Feb 2020 31 Dec 2019 008-34261
FOCUSN Open FOCUSN document View SEC filing for FOCUSN AUTO-GENERATED PAPER DOCUMENT 01 Mar 2019 31 Dec 2018 008-34261
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 01 Mar 2019 31 Dec 2018 008-34261
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 28 Feb 2018 31 Dec 2017 008-34261
FOCUSN Open FOCUSN document View SEC filing for FOCUSN AUTO-GENERATED PAPER DOCUMENT 28 Feb 2018 31 Dec 2017 008-34261
FOCUSN Open FOCUSN document View SEC filing for FOCUSN AUTO-GENERATED PAPER DOCUMENT 24 Feb 2017 31 Dec 2016 008-34261
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 24 Feb 2017 31 Dec 2016 008-34261
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 25 Feb 2016 31 Dec 2015 008-34261
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 27 Feb 2015 31 Dec 2014 008-34261
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 26 Feb 2014 31 Dec 2013 008-34261
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 28 Feb 2013 31 Dec 2012 008-34261
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 17 Feb 2012 31 Dec 2011 008-34261
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 17 Feb 2011 31 Dec 2010 008-34261
X-17A-5 Open X-17A-5 document View SEC filing for X-17A-5 AUTO-GENERATED PAPER DOCUMENT 25 Feb 2010 31 Dec 2009 008-34261

About this filer

ASHTON THOMAS SECURITIES, LLC files with the SEC under CIK 0000771572. This page aggregates EDGAR filings and related ownership activity.

FAQ

What is a CIK?
A Central Index Key (CIK) is a unique identifier assigned by the SEC to each filer.
Why are some filings missing?
New filings appear as the SEC updates EDGAR, and older records can vary by availability.
How often is this page updated?
Updates follow new EDGAR submissions and periodic data refreshes.