# EDGAR Filing Document

**Accession Number:** 0000771572
**File Stem:** 0000771572-26-000001
**Filing Date:** 2026-3
**Character Count:** 2785
**Document Hash:** 436551c150ae7fe0cd85ce84b1d18628
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000771572-26-000001.hdr.sgml**: 20260302

**ACCESSION NUMBER**: 0000771572-26-000001

**CONFORMED SUBMISSION TYPE**: X-17A-5

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20251231

**FILED AS OF DATE**: 20260302

**DATE AS OF CHANGE**: 20260302

**EFFECTIVENESS DATE**: 20260302

**PERIOD START**: 20250101

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ASHTON THOMAS SECURITIES, LLC
- **CENTRAL INDEX KEY:** 0000771572

**ORGANIZATION NAME:**
- **EIN:** 933834317
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** X-17A-5
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 008-34261
- **FILM NUMBER:** 26706990

**BUSINESS ADDRESS:**
- **STREET 1:** 200 CANAL VIEW BLVD.
- **STREET 2:** STE. 204
- **CITY:** ROCHESTER
- **STATE:** NY
- **ZIP:** 14623
- **BUSINESS PHONE:** 716-424-1234

**MAIL ADDRESS:**
- **STREET 1:** 200 CANAL VIEW BLVD.
- **STREET 2:** STE. 204
- **CITY:** ROCHESTER
- **STATE:** NY
- **ZIP:** 14623

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** EXCEL SECURITIES & ASSOCIATES, INC.
- **DATE OF NAME CHANGE:** 20240205

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ASHTON THOMAS SECURITIES, LLC
- **DATE OF NAME CHANGE:** 20240112

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** EXCEL SECURITIES & ASSOCIATES, INC.
- **DATE OF NAME CHANGE:** 20240111

### Attached PDF Documents

**Attachment 1:** `2025FinancialsEDGAR.pdf`

_No text found in this document._

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM X-17A-5

### ANNUAL AUDITED REPORT

### Filer Information

**Filer CIK:** 0000771572

**Filer CCC:** XXXXXXXX

**Is this a LIVE or TEST filing?:** LIVE

**Would you like a Return Copy?:** Yes

### Submission Information

**Report Period Begin Date:** 01-01-2025

**Report Period End Date:** 12-31-2025

**Type of Registrant:** Broker-dealer

**Any material weaknesses identified?:** No

### Registrant Identification

**Name of Broker-Dealer:** ASHTON THOMAS SECURITIES, LLC

**Business Address:** 200 CANAL VIEW BLVD., STE. 204, ROCHESTER, NY, 14623

**Contact Person:** Kevin Kading

**Contact Phone:** 602-732-4745

### Independent Public Accountant Identification

**Accountant Name:** RDG Partners CPAs, PLLC

**Accountant Address:** 10 Winthrop Street, Rochester, NY, 14607

**Accountant Type:** Certified Public Accountant

### OATH OR AFFIRMATION

I, **Kevin Kading**, swear (or affirm) that, to the best of my knowledge and belief, the accompanying financial statements and supporting schedules pertaining to the firm of **ASHTON THOMAS SECURITIES, LLC**, as of **03-02-2026**, are true and correct.

**Signature:** Kevin Kading

**Title:** Sr. Director, Head of Finance

**Notarized:** Yes