Ashton Niemann has been an investment adviser representative at Adaptation Financial Advisors since February 2023, and is not listed among the firm’s executive officers or direct owners.
Adaptation Financial Advisors Inc. is an Oklahoma City, OK firm with $234M under management, 690 clients and 4 advisers across 3 offices, as of its May 2026 filing.
Ashton Niemann’s longest registration is the current one, 3 years at Adaptation Financial Advisors since 2023.
- MDK Financial Group, Inc.– · under a yearHouston, TX · Adviser representative · Firm CRD 316876
- – present · 3 yearsHouston, TX · Adviser representative · Firm CRD 309192
Investment adviser representative registrations
Ashton Niemann is registered as an investment adviser representative in 2 states. Each was approved in February 2023.
- OklahomaSince 24 February 2023
- TexasSince 24 February 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 21 February 2023 |
| Series 7TO | General Securities Representative Examination | 26 November 2022 |
| SIE | Securities Industry Essentials Examination | 10 August 2022 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- Ashton Riley Niemann
- CRD
- 7609475
- Firm
- Adaptation Financial Advisors · CRD 309192
- Office
- 2412 Bartlett St., Suite 102, Houston, TX 77098
- Registration
- Investment adviser and broker registrations
- In the industry since
- November 2022
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Ashton Niemann work?
Ashton Niemann is an investment adviser representative registered through Adaptation Financial Advisors Inc. since February 2023, and is not listed among the firm’s executive officers or direct owners.
Is Ashton Niemann a financial advisor?
Yes. Ashton Niemann has a current investment-adviser registration in Oklahoma and Texas, through Adaptation Financial Advisors since February 2023.
How many years of experience does Ashton Niemann have?
Ashton Niemann has 3 years in the financial industry, since November 2022, across 2 adviser firms.
What exams has Ashton Niemann passed?
Ashton Niemann has passed 3 licensing exams: the SIE, Series 7TO and Series 66. The earliest, the SIE, was passed in August 2022.
Where is Ashton Niemann based?
Ashton Niemann’s registered office is in Houston, TX.
Is Ashton Niemann registered with FINRA?
Yes. Ashton Niemann has a current broker registration, under CRD 7609475.
Source: FINRA BrokerCheck
How can I verify Ashton Niemann’s record?
Search CRD 7609475 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Ashton Niemann’s full registration record.
