Unclaimed Profile

Tami Ann Wihlen

EXCEL SECURITIES & ASSOCIATES,INC.·ROCHESTER, New York

SIE, Series 4, Series 7, Series 24, Series 27, Series 55, Series 57TO, Series 63, Series 65, Series 99TO4 years registeredEXCEL SECURITIES & ASSOCIATES,INC.

200 CANAL VIEW BLVD., ROCHESTER, NY 14623CRD# 2712926Firm CRD# 16629

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Tami Ann Wihlen · ROCHESTER, NY

Registration

CRD #2712926 · EXCEL SECURITIES & ASSOCIATES,INC. · 4 years registered

Brand Profile

Not yet started

Career History

ASHTON THOMAS SECURITIES, LLC

Sep 2021 – present

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 24

Series 27

Series 55

Series 57TO

Series 63

Series 65

Series 99TO

Registration record

First registered · September 6, 2021

Years registered · 4

Disclosure History

2025Customer Dispute·Pending

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

ASHTON THOMAS SECURITIES, LLC

CRD 16629 · SEC 801-69225

AUM

$409M

Regulatory assets under management

Employees

1,799 client accounts

Services offered by ASHTON THOMAS SECURITIES, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at ASHTON THOMAS SECURITIES, LLC →

Introduction

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Frequently Asked Questions

What services does Tami Ann Wihlen offer?

Tami Ann Wihlen specializes in Financial Planning, Investment Management, Fee-Only Advisory. Contact their office in ROCHESTER, New York for a consultation.

What are Tami Ann Wihlen's credentials?

Tami Ann Wihlen is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Tami Ann Wihlen located?

Tami Ann Wihlen is based in ROCHESTER, New York, working with EXCEL SECURITIES & ASSOCIATES,INC.. Their office serves clients in the ROCHESTER metropolitan area and surrounding communities.

How does Tami Ann Wihlen charge for services?

Tami Ann Wihlen's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is EXCEL SECURITIES & ASSOCIATES,INC.?

EXCEL SECURITIES & ASSOCIATES,INC. has approximately 24 employees and manages $409M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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