Thomas M Mincy

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

Authority	Category	Status	Date
IN	RA	APPROVED	2013-08-14

IN RA
APPROVED

Since 2013-08-14

Branch Locations

Indianapolis, IN • United States

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

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ausdal Financial Partners	Davenport	IA	08/2013	Present

08/2013 → Present

Ausdal Financial Partners

Davenport, IA

Previous Registrations

2011-08-25 → 2013-09-09

Imbb Investment Advisors

Indianapolis, IN
2011-02-18 → 2011-08-31

Ameriprise Financial Services, Llc

Indianapolis, IN

Fort Wayne, IN
2009-06-01 → 2011-02-24

Morgan Stanley

Indianapolis, IN
2007-09-10 → 2009-06-01

Morgan Stanley & Co. Llc

Indianapolis, IN

Other Businesses

SILVER BIRCH CAPITAL ADVISORS; INSURANCE SALES, INVESTMENT RELATED, INDIANAPOLIS, IN; INSURANCE SALES; AGENT; ACTIVITY BEGAN DEC 2017; I DEVOTE APPX 1 HOUR PER MONTH DURING TRADING HOURS TO THIS ACTIVITY; COMPENSATION IS COMMISSION.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-08-27

S66 Uniform Combined State Law Examination

2007-08-27

Other Names

Thomas M Mincy
Mincy M Thomas
Tom Mincy

View on SEC IAPD