AUSDAL FINANCIAL PARTNERS, INC. of DAVENPORT, IA is an SEC-registered investment adviser (CRD 7995). Regulatory assets under management: $3.7B.
Compensation: % of AUM, Hourly, Fixed, Commissions, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Charities, Other.
Showing 25 of 38 people.
| Name | Role | Location |
|---|---|---|
| James Jefferson Simpson | SHAREHOLDER, CEO, BOARD MEMBER; SHAREHOLDER, EXECUTIVE VICE PRESIDENT,DIRECTOR | — |
| John Bryan Hicks | DIRECTOR, SHAREHOLDER,VICE PRESIDENT, CORPORATE SECRETARY; SHAREHOLDER,VICE PRESIDENT, BOARD MEMBER | — |
| David Bruce Roberts | CHAIRMAN, DIRECTOR, SHAREHOLDER,VICE PRESIDENT; VICE PRESIDENT, SHAREHOLDER, BOARD MEMBER | — |
| Nathan David Westcomb | CHIEF COMPLIANCE OFFICER | — |
| Ivana M Shumberg | FINOP | — |
| Stephen Barra Sawtelle | SHAREHOLDER | — |
| Jessica Ann Witter | SHAREHOLDER | — |
| Timothy Scott Beldner | DIRECTOR, OFFICER, OWNER; SHAREHOLDER, DIRECTOR | — |
| Matthew Roy Wilson | SHAREHOLDER, TRUSTEE; TRUSTEE | — |
| Larry Wayne Johnson | SHAREHOLDER, TRUSTEE, DIRECTOR; TRUSTEE | — |
| Jane Eleanor Sykes Wilson | SHAREHOLDER, TRUSTEE; TRUSTEE | — |
| HOPKINS THOMAS ARTHUR | DIRECTOR; DIRECTOR. CHAIRMAN OF THE BOARD | — |
| ROBERTS DAVID BRUCE | CHAIRMAN, DIRECTOR, SHAREHOLDER,VICE PRESIDENT; DIRECTOR, SHAREHOLDER; DIRECTOR, SHAREHOLDER,VICE PRESIDENT (+1 more) | — |
| HICKS JOHN BRYAN | DIRECTOR, SHAREHOLDER; DIRECTOR, SHAREHOLDER,VICE PRESIDENT; DIRECTOR, SHAREHOLDER,VICE PRESIDENT, CORPORATE SECRETARY (+1 more) | — |
| WILSON DOUGLAS ROY | SHAREHOLDER, TRUSTEE; TRUSTEE | — |
| JOHNSON MICHAEL WAYNE | SHAREHOLDER, TRUSTEE, DIRECTOR; TRUSTEE | — |
| AUSDAL JUNE CLARK | SHAREHOLDER | — |
| AUSDAL ROBERT BURNS JR | CHIEF FINANCIAL OFFICER,FINANCIAL OPERATIONS PRINCIPAL; PRESIDENT, CHIEF FINANCIAL OFFICER,FINANCIAL AND OPERATIONS PRINCIPAL, CHIEF COMPLIANCE OFFICER; PRESIDENT, CHIEF FINANCIAL OFFICER,FINANCIAL AND OPERATIONS PRINCIPAL, SHAREHOLDER, TRUSTEE (+8 more) | — |
| AUSDAL MONICA LEA | CORPORATE SECRETARY; SHAREHOLDER; SHAREHOLDER, TRUSTEE (+1 more) | — |
| SIMPSON HEATHER DEBRAY | SHAREHOLDER | — |
| MICKELSEN KRAIG RICHARD | DIRECTOR,SHAREHOLDER; SHAREHOLDER | — |
| WITTER CHAD MICHAEL | VICE PRESIDENT,DIRECTOR,SHAREHOLDER | — |
| SIMPSON JAMES J | EXECUTIVE VICE PRESIDENT,DIRECTOR | — |
| LINDBERG CHARLES ALAN | SHAREHOLDER | — |
| OAKES DEAN G | UNITHOLDER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2012-12-20 | regulatory | AUSDAL FAILED TO RETAIN SOME EMAIL CORRESPONDENCE RELATED TO ITS BUSINESS AS A BROKER-DEALER FROM OCTOBER 2008 THROUGH JUNE 2011, IN VIOLATION OF NASD RULES 3110 AND 2110, FINRA RULE 2010, SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 1 7A-4 PROMULGATED THEREUNDER. | Final | $25K |
| — | regulatory | — | — | — |