Aaron Brodt has been CEO of Ashton Thomas Private Wealth since March 2010, is a control person of the firm and directly owns under 5% of it.
Ashton Thomas Private Wealth, LLC is a Scottsdale, AZ firm with $6.01B under management, 3,229 clients and 63 advisers across 26 offices, as of its August 2026 filing.
Aaron Brodt’s longest registration is the current one, 16 years at Ashton Thomas Private Wealth since 2010. Before joining Ashton Thomas Private Wealth in 2010, Aaron Brodt was registered through The Planning Group and Global Financial Private Capital, LLC.
- Ashton Thomas Private WealthCurrent– present · 16 yearsScottsdale, AZ · Adviser representative · Firm CRD 153902
- The Planning Group– · 2 yearsScottsdale, AZ · Adviser representative · Firm CRD 113887
- Global Financial Private Capital, LLC– · 2 yearsScottsdale, AZ · Adviser representative · Firm CRD 132070
Investment adviser representative registrations
Aaron Brodt is registered as an investment adviser representative in Arizona, since June 2010.
- ArizonaSince 16 June 2010
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 1 June 2008 |
| Series 7 | General Securities Representative Examination | 12 May 2008 |
| Series 65 | Uniform Investment Adviser Law Examination | 22 July 2005 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- CRD
- 5017914
- Firm
- Ashton Thomas Private Wealth · CRD 153902
- Role
- CEO
- Office
- 8605 E Raintree Drive, Suite 280, Scottsdale, AZ 85260
- Registration
- Investment adviser registration
- In the industry since
- September 2005
- Disciplinary history
- Not yet shown here · SEC record
Where does Aaron Brodt work?
Aaron Brodt has been CEO of Ashton Thomas Private Wealth, LLC since March 2010, and is a control person of the firm.
Is Aaron Brodt a financial advisor?
Yes. Aaron Brodt has a current investment-adviser registration in Arizona, through Ashton Thomas Private Wealth since June 2010.
How many years of experience does Aaron Brodt have?
Aaron Brodt has 21 years in the financial industry, since September 2005, across 3 adviser firms.
What exams has Aaron Brodt passed?
Aaron Brodt has passed 3 licensing exams: the Series 65, Series 7 and Series 63. The earliest, the Series 65, was passed in July 2005. FINRA credited Aaron Brodt with the SIE, which began in October 2018.
Where did Aaron Brodt work before Ashton Thomas Private Wealth?
Before Ashton Thomas Private Wealth, Aaron Brodt was registered through Global Financial Private Capital, LLC, September 2005 to June 2008.
Where is Aaron Brodt based?
Aaron Brodt’s registered office is in Scottsdale, AZ.
Is Aaron Brodt registered with FINRA?
No. Aaron Brodt has no current broker registration.
How can I verify Aaron Brodt’s record?
Search CRD 5017914 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Aaron Brodt’s full registration record.
- Kevin KadingChief Financial Officer
- Cynthia-Elaine SchlangerChief Compliance Officer
- Heidi BrodtBusiness Manager
- Drinan GorneyChief Administrative Officer and General Counsel
- Zbynek KozelskyChief Operations Officer