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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

Aileen F DeFroda

Advisor at ASHTON THOMAS SECURITIES, LLC

ROCHESTER, NY | Wilmington, DE

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Search this name across graphsid dfx:ria:195cb943-6947-bc59-cd38-7593694ccb8b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 30, 2009 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ASHTON THOMAS SECURITIES, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 2, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Nov 2, 2007
First registration: Mar 30, 2009
Dual registered: yes, broker-dealer
Other names: AILEEN FERN DIMMER|AILEEN FERN DEFRODA
IAPD individual key: 5410978

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ASHTON THOMAS SECURITIES, LLC	Independent wealth	Oct 21, 2024	n/a	yes	Wilmington, DE\|ROCHESTER, NY	Current employment
REALTA INVESTMENT ADVISORS, INC	Bd affiliated wealth	Aug 13, 2018	Oct 2, 2024	no	WILMINGTON, DE	Previous registration
CAPITAL ONE ADVISORS, LLC	Former SEC adviser	Dec 15, 2015	Aug 9, 2018	no	Wilmington, DE\|MCLEAN, VA	Previous registration
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Jan 5, 2015	Dec 9, 2015	no	Wilmington, DE\|Hockessin, DE\|Wilmington, DE\|Hockessin, DE	Previous registration
INVEST FINANCIAL CORPORATION	Former SEC adviser	Mar 30, 2009	Jan 6, 2015	no	GREENVILLE, DE\|SELBYVILLE, DE\|HOCKESSIN, DE\|GREENVILLE, DE\|NEWTOWN SQUARE, PA\|MEDIA, PA\|WEST CHESTER, PA\|WILMINGTON, DE\|WILMINGTON, DE\|WILMINGTON, DE\|WILMINGTON, DE\|MILLSBORO, DE\|LEWES, DE\|MILLSBORO, DE\|OCEAN VIEW, DE\|OXFORD, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
REALTA INVESTMENT ADVISORS, INC	ASHTON THOMAS SECURITIES, LLC	Oct 2, 2024	Oct 21, 2024	19	Firm change	Ibd to RIA
CAPITAL ONE ADVISORS, LLC	REALTA INVESTMENT ADVISORS, INC	Aug 9, 2018	Aug 13, 2018	4	Firm change	Ibd to RIA
COMMONWEALTH FINANCIAL NETWORK	CAPITAL ONE ADVISORS, LLC	Dec 9, 2015	Dec 15, 2015	6	Firm change	Other
INVEST FINANCIAL CORPORATION	COMMONWEALTH FINANCIAL NETWORK	Jan 6, 2015	Jan 5, 2015	-1	Firm change	Other

Relationships

Registered with (5)

→ ASHTON THOMAS SECURITIES, LLCRegistered adviserregistration: current employment
Oct 21, 2024 to presentfactForm ADV
→ REALTA INVESTMENT ADVISORS, INCRegistered adviserregistration: previous registration
Aug 13, 2018 to Oct 2, 2024factForm ADV
→ CAPITAL ONE ADVISORS, LLCRegistered adviserregistration: previous registration
Dec 15, 2015 to Aug 9, 2018factForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: previous registration
Jan 5, 2015 to Dec 9, 2015factForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
Mar 30, 2009 to Jan 6, 2015factForm ADV

Dated events

Occurred
Oct 2, 2024
Advisor changed firm
Aileen F Defroda left Realta Investment Advisors, Inc for Ashton Thomas Securities, Llc (registered 2024-10-21)
Form ADVobserved 5 days ago