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Employer firm

Ausdal Financial Partners, Inc. CRD 7995

$3.73B regulatory AUM 665 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Selection of other advisers
  • ADVICE ON UMA PLATFORMS

From the firm’s Form ADV. Read the guides:

Current Employers
Ausdal Financial Partners, Inc.

5187 Utica Ridge Rd, Davenport, IA 52807 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2016-09-12
IL RA APPROVED 2009-08-18
  • TX RA
    APPROVED
    Since 2016-09-12
  • IL RA
    APPROVED
    Since 2009-08-18

Branch Locations

Chicago, IL • United States

3250 Lacey Road Suite 130, Downers Grove, IL 60515 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Financial Planning Consultants Palatine IL 03/2000 11/2017
Ausdal Financial Partners, Inc. Palatine IL 08/2009 Present
Previous Registrations
  • 2007-01-05 → 2009-08-17
    Waterstone Financial Group, Inc.
    Palatine, IL
    Palatine, IL
Other Businesses

1) INSURANCE AND ANNUITY SALES 4914 N LEAVITT ST, CHICAGO, IL. LIFE, HEALTH, LONG-TERM CARE & DISABILITY INSURANCE SALES. FIXED, INDEXED AND IMMEDIATE ANNUITY SALES - SOLE PROPRIETOR SINCE 1/2003 - APPROXIMATELY 5 HOURS A MONTH DEVOTED TO THIS ACTIVITY OF WHICH ALL ARE DURING TRADING HOURS. THIS IS NOT AN INVESTMENT RELATED ACTIVITY. COMMISSION BASED INCOME.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-03-13
  • S66 Uniform Combined State Law Examination
    2004-03-13
Designations
  • Certified Financial Planner

View on SEC IAPD

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