what we do
In order to participate in any securities related transaction, a registered representative must affiliate with a registered broker-dealer. The broker-dealer has several responsibilities. The first is supervisory, helping to assure that the representative conducts business appropriately and that investment recommendations are suitable for their clients. Secondly, the firm facilitates the transaction itself on behalf of the representative and client. To varying extents, broker-dealers will also try to provide their representatives with education, technology, sales support and other services.
While all broker-dealers serve the same basic purpose, they can vary in scope and structure. It is up to the registered representative to select the type of firm that best suits their needs. Some representatives are employed by large investment or brokerage houses, some work with or for insurance companies and others choose to remain self-employed, partnering with an independent broker-dealer like Ausdal Financial Partners.
Often experienced financial professionals prefer to work with an independent broker dealer like Ausdal because they prefer to remain “independent contractors” and manage their practice as theysee fit rather than feel pressured to serve the needs of a larger corporation. The representatives of Ausdal Financial Partners typically have enjoyed a long term, straightforward relationship with our principals based in friendship, integrity and a genuine concern in the success of our clients and each other.
Moreover, it is the combination of our culture along with exceptional capabilities, and state-of-the-art technology that attracts the experienced financial professional. Our representatives understand that they enjoy true independence and a valuable business relationship that they would not be likely to enjoy with a larger institution.
Most importantly, everyone involved shares one
common goal - to serve the investors best interest above all else.