Ausdal Financial Partners is committed to serving the best interest of our investors. To that end, we maintain numerous policies and procedures to disclose business procedures, protect client privacy and ensure our ability to serve you. For information regarding specific policies, please consult the documents listed to the right.
SEC-Required Report on Routing of Customer Orders For Quarter Ending December 31, 2008
Ausdal Financial Partners introduces transactions on a fully disclosed basis to our clearing firms, Pershing LLC ("Pershing"). In November 2000, the U.S. Securities and Exchange Commission ("SEC") adopted new rules aimed at improving the quality and availability of disclosure related to order execution and routing practices. Pershing has prepared reports pursuant to U.S. Securities and Exchange Commission Rule 606 that requires all brokerage firms to make publicly available quarterly reports on their order routing practices. The report provides information on the routing of "non-directed orders" - any order that the customer has not specifically instructed to be routed to a particular venue for execution. For these non-directed orders, our clearing firms have selected the execution venue on behalf of its customers.
The report is divided into four sections: one for securities listed on the New York Stock Exchange, one for securities listed on The Nasdaq Stock Market, one for securities listed on the American Stock Exchange or regional exchanges, and one for exchange-listed options. For each section, this report identifies the venues most often selected by the respective clearing firm, sets forth the percentage of various types of orders routed to the venues, and discusses the material aspects of the respective clearing firm's relationship with the venues. Ausdal Financial Partners directs its equity order flow to its clearing broker, Pershing LLC, for routing and execution based upon where the customer's account is held. Ausdal does not receive compensation for directing order flow to Pershing.
Click here if your account is held at Pershing
(enter Ausdal Financial Partners when prompted for the broker-dealer's full name).
Ausdal's policy regarding the protection and sharing of private client information.
business continuity plan
Ausdal's procedures to maintain continuity of service in the event of a major disruption of business like a natural disaster.
form adv ii
Disclosure regarding investment advisory services offered through Ausdal Financial Partners registered investment advisory.