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Daniel Stephen Bauers

Ashton Thomas Securities, LLC

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About Daniel Stephen Bauers

Daniel Stephen Bauers is a financial advisor registered with Ashton Thomas Securities, LLC, and Ashton Thomas Private Wealth. Daniel has been in the financial services industry since February 26, 2008. Daniel is licensed to provide financial services in 36 states, including Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Illinois, Indiana, Kansas, Maine, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New York, Ohio, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, Wisconsin, and Wyoming.

Firm Information

Daniel Bauers is currently registered with Ashton Thomas Securities, LLC. Ashton Thomas Securities, LLC is a Limited Liability Company, formed on January 8, 2024, and registered with the SEC. Based in Rochester, NY, the firm offers a range of financial advisory services including financial planning, pension consulting, and portfolio management for individuals. They are licensed to operate in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm manages over $409 million in assets and has a team of over 50 licensed professionals.
Ashton Thomas Securities, LLC

200 CANAL VIEW BLVD.

ROCHESTER, NY 14623

$409.08M

Assets Under Management

Not reported

Total Clients

43

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Daniel Bauers’s Registration & Firm History

NY

03/13/2024 - Present

Ashton Thomas Securities, LLC (ROCHESTER NY)

NY

09/06/2016 - 03/15/2024

RAYMOND JAMES & ASSOCIATES, INC. (NEW YORK NY)

NY

09/15/2008 - 09/06/2016

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NY

02/27/2008 - 09/16/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 11/18/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/26/2008

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Daniel Stephen Bauers.
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