INVESTOR INFORMATION AND DISCLOSURES

MEMBER FINRA

Ausdal Financial Partners is a member of the Financial Industry Regulatory Authority (FINRA), the largest non-governmental regulator for all securities firms doing business in the United States.

Created in 2007 through the consolidation of NASD and the regulatory arm of the New York Stock Exchange, FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms.

 

With approximately 3,000 employees operating from Washington DC, New York, NY and 15 District Offices around the country, FINRA is a trusted advocate for investors dedicated to keeping the markets fair and ensuring investor choice

 

 

MEMBER SIPC

SIPC is the first line of defense in the event a brokerage firm fails owing customers cash and securities that are missing from customers accounts. When a brokerage firm is closed due to bankruptcy or other financial difficulties and customer assets are missing, SIPC steps in as quickly as possible and within certain limits, works to return customers’ cash stock and other securities. Without SIPC, investors at financially troubled brokerage firms might lose their securities or money forever...or wait for years while their assets are tied up in court.

Not everyone, and not every loss is protected by SIPC. The Securities Investor Protection Corporation does not offer to customers the same blanket protection that the FDIC provides to bank depositors. Where banking instruments are inherently “risk averse”, securities rewards are only possible with risk. Consequently, SIPC does not bail out investors when the value of their investments decline. Instead, SIPC replaces missing stocks and other securities when it is possible to do so...even when the investments have increased in value.

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 links above..

 

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).

INVESTOR INFORMATION

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 below.

 

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).

HOME OFFICE
5187 Utica Ridge Road
Davenport, IA 52807
563.326.2064

CHICAGOLAND OFFICE
3250 Lacey Road, Ste. 130
Downers Grove, IL 60515
630.407.0400

MEMBER FINRA | SIPC

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