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Current Employers
Ausdal Financial Partners, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2011-02-11
  • IL RA
    APPROVED
    Since 2011-02-11

Branch Locations

One Westbrook Corporate Ctr., Suite 300, Westchester, IL 60154 • United States

Arlington Heights, IL • United States

Berwyn, IL • 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
Ausdal Financial Partners Inc Westchester IL 02/2011 Present
Previous Registrations
  • 2008-09-02 → 2011-02-11
    Qa3 Financial Llc
    Naperville, IL
    Omaha, NE
  • 2005-01-03 → 2008-09-03
    Waterstone Financial Group, Inc.
    Naperville, IL
    Berwyn, IL
  • 2002-12-06 → 2004-12-08
    Oak Brook, IL
Other Businesses

1. OUTSIDE INSURANCE SALES, AGENT; SINCE 2/5/2008; NON-INVESTMENT RELATED ACTIVITY; SALE OF FIXED LIFE INSURANCE, HEALTH, AND DISABILITY INSURANCE, COMMISSIONS BASED COMPENSATION. APPROXIMATELY 12 HOURS A MONTH DEVOTED TO THIS ACTIVITY. 2. Senior Market Sales, Omaha, NE; insurance sales agent since 1/2015. Approximately 0-1 hours a month are devoted to this activity. I refer people to the Travel Insurance Center who are interested in buying trip insurance or international health insurance while travelling our of the US. This is not an investment related activity. Compensation is based on referrals. 3. Medicare Marketplace, referral for medicare assist people in making decisions about Medicare coverage and plans.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-12-05
S63 Uniform Securities Agent State Law Examination 1990-12-19
  • S65 Uniform Investment Adviser Law Examination
    1995-12-05
  • S63 Uniform Securities Agent State Law Examination
    1990-12-19
Designations
Other Names
  • Steven Nivens

View on SEC IAPD

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