WORKING WITH
AN AFP ADVISOR
ABOUT AUSDAL
fINANCIAL PARTNERS
Ausdal Financial Partners has been serving experienced financial professionals and their clients since 1979. In AFP you will find a confluence of small town, Midwestern values, and industry leading financial products, services and technology.
Independent financial professionals affiliate with us because they value the personal relationships and accessibility that a “boutique” firm offers. They need a partner that will be responsive, accountable and committed to their success.
Most importantly, AFP advisors enjoy an independence that leaves them free to serve your interest without regard for any corporate agenda. As long as our client’s best interests are being served, we are satisfied.
THE AFP ADVISOR
INDEPENDENCE
AFP advisors are independent financial professionals. This means that they own and manage their practice. They are not employees. Advisors who choose independence do so because they want the freedom to build their business and serve their clients without feeling the pressure to advance a corporate agenda, market proprietary products or meet sales goals.
EXPERIENCE
AFP partners mostly with experienced financial professionals with established practices and longstanding client relationships. We also look for individuals without histories of excessive regulatory action or client complaints. Our selective approach gives us confidence in our advisors, and in turn, they enjoy the freedom to run their business and serve their clients as they see fit
ONE GOAL
AFP’s approach is very simple. We seek to attract high quality experienced advisors, build longstanding relationships, and remember the importance of customer service. We strive to support your advisors efforts and provide them with the tools and the freedom they need to serve you best. If they succeed, we succeed.
OUR ROLE
In order to participate in any securities related transaction, financial professionals need to affiliate with a registered securities broker-dealer or investment advisor.
AFP has many responsibilities including, supervising the activities of its representatives, conducting due diligence on investment vehicles, execution of trades, and helping the advisor fulfill regulatory requirements. We also provide our advisors with product and industry education, technology, sales support and other services.
AFP serves independent professionals who usually prefer to operate their practices under their own names or brands. Consequently, it's no surprise that you may not have heard of us. While we are happy to serve, our work takes place behind the scenes and most of the time, our efforts go unnoticed. However, should you ever need us, we will be available.
SERVICES
CLEARING
AFP employs Pershing, an affiliate of Bank of New York Mellon for the execution of our trading. With 80 years of experience, Pershing serves many of the world's most respected financial organizations. Pershing is responsible for approximately $1.9 trillion* in global client assets.
By partnering with Pershing, AFP and our clients are able to capitalize on their stability, experience, and innovative product and technology solutions. Pershing At A Glance [+]
SUPERVISION
One of the primary roles of the broker-dealer is "supervising" our registered representatives. This means we work very closely with your advisor to insure that they operate within all industry regulatory requirements.
Before an advisor joins AFP, we evaluate each candidates experience, background and character. Once aboard, we monitor communications and provide training on an ongoing basis. The AFP team reviews client accounts and transactions to confirm that recommendations are made in your best interest.
SUPPORT
AFP supports our advisors in many ways. We offer our advisors access to technology including analytics, research and practice management applications to help serve you effectively.
Educational and networking events help our representatives keep abreast of industry developments and best practices. Our compliance team helps advisors adhere to regulatory guidelines and the AFP home office team helps streamline administrative process and insure the accuracy of all transactions.