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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
MN RA APPROVED 2015-06-25
TX RA APPROVED 2011-09-01
  • MN RA
    APPROVED
    Since 2015-06-25
  • TX RA
    APPROVED
    Since 2011-09-01

Branch Locations

4756 Banning Avenue, Suite 200-3, White Bear Lake, MN 55110 • 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
OrganizationCityStateFromTo
Ausdal Financial Partners Daveport IA 09/2011 Present
  • 09/2011 → Present
    Ausdal Financial Partners
    Daveport, IA
Previous Registrations
  • 2010-11-09 → 2011-09-02
    Next Financial Group, Inc.
    Vadnais Heights, MN
    North Oaks, MN
Other Businesses

1) CHRIS NESTON; INVESTMENT RELATED; WHITE BEAR LAKE, MN; INSURANCE SALES; AGENT; ACTIVITY BEGAN IN JUNE 1996; OWNER; I DEVOTE APPX 10 HOURS TO THIS ACTIVTY ALL DURING TRADING HOURS; INSURANCE; SALE OF VARIOUS INSURANCE PRODUCTS. 2) CHRIS NESTON; NOT INVESTMENT RELATED; REFERRAL OF SMALL BUSINESSES; REFERRAL RESOURCE; ACTIVITY BEGAN I 08.2016; I DEVOTE ONE HOUR PER MONTH TO THIS ACTIVITY DURING TRADING HOURS; ASSIST SMALL BUSINESSES IN WAYS TO RUN MORE EFFICIENTLY.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-07-21
S63 Uniform Securities Agent State Law Examination 1996-05-20
  • S65 Uniform Investment Adviser Law Examination
    2005-07-21
  • S63 Uniform Securities Agent State Law Examination
    1996-05-20
Other Names
  • Chris Neston

View on SEC IAPD

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