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Investment Adviser Firm Summary

AUSDAL FINANCIAL PARTNERS, INC. (CRD# 7995 / SEC# 8-24519, 801-69266)
Alternate Names: AUSDAL FINANCIAL PARTNERS, INC. , ROBERT B. AUSDAL & CO. INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 06/05/2008
California Terminated 06/05/2008
Florida Terminated 06/05/2008
Illinois Terminated 06/05/2008
Iowa Terminated 06/06/2008
Texas Terminated 06/05/2008
Washington Terminated 06/05/2008

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 03/09/2011
Alaska 06/06/2011
Arizona 06/02/2009
Arkansas 08/24/2009
California 02/06/2007
Colorado 03/06/2009
Connecticut 02/25/2011
Delaware 05/26/2011
District of Columbia 03/28/2011
Florida 06/05/2008
Georgia 03/06/2009
Hawaii 07/05/2011
Idaho 03/16/2011
Illinois 06/05/2008
Indiana 03/06/2009
Iowa 06/05/2008
Kansas 08/18/2009
Kentucky 07/31/2009
Louisiana 07/05/2011
Maine 07/05/2011
Maryland 06/06/2011
Massachusetts 08/20/2009
Michigan 03/24/2009
Minnesota 12/20/2010
Mississippi 04/15/2011
Missouri 09/22/2010
Montana 07/05/2011
Nebraska 09/22/2010
Nevada 04/02/2009
New Hampshire 03/24/2009
New Jersey 06/02/2009
New Mexico 03/03/2011
New York 06/05/2008
North Carolina 05/20/2009
North Dakota 05/26/2011
Ohio 03/24/2009
Oklahoma 06/06/2011
Oregon 06/06/2011
Pennsylvania 05/26/2009
Puerto Rico 01/06/2015
Rhode Island 08/20/2009
South Carolina 05/26/2009
South Dakota 06/06/2011
Tennessee 10/15/2009
Texas 06/05/2008
Utah 05/26/2011
Vermont 05/26/2011
Virginia 08/24/2009
Washington 06/05/2008
West Virginia 05/26/2011
Wisconsin 05/20/2009

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser