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DP

Dominic F. Prologo

AUSDAL FINANCIAL PARTNERS
AUSTINTOWN, OH 44515
Some features on this profile are disabled
CRD#: 2454285
DP

Professional summary

Dominic Frank Prologo, who also goes by Dominic F Prologo, is a registered financial professional currently at AUSDAL FINANCIAL PARTNERS, INC. located in Austintown, Ohio.

Dominic is registered as a RR (Registered Representative) and started their career in finance in 1994. Dominic has worked at 10 firms and has passed the SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dominic F Prologo

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dominic Frank Prologo's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 22, 2025 - Present

AUSDAL FINANCIAL PARTNERS, INC.

Office #1: 130 Westchester Drive, Suite 4, Austintown, OH 44515
RIA
BD
CRD#: 7995
AUSTINTOWN, OH
Past

October 11, 2024 - January 24, 2025

OSAIC WEALTH, INC.

BD
CRD#: 23131
AUSTINTOWN, OH
Past

April 27, 2012 - October 11, 2024

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

BD
CRD#: 18487
AUSTINTOWN, OH
Past

March 6, 2009 - May 1, 2012

NEXT FINANCIAL GROUP, INC.

RIA
CRD#: 46214
AUSTINTOWN, OH
Past

March 4, 2009 - May 1, 2012

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
AUSTINTOWN, OH
Past

January 11, 2005 - March 10, 2009

QUESTAR ASSET MANAGEMENT, INC.

RIA
CRD#: 133358
AUSTINTOWN, OH
Past

October 6, 1999 - December 31, 2005

QUESTAR CAPITAL CORPORATION

RIA
CRD#: 43100
AUSTINTOWN, OH
Past

September 2, 1997 - March 6, 2009

QUESTAR CAPITAL CORPORATION

BD
CRD#: 43100
AUSTINTOWN, OH
Past

May 14, 1997 - September 8, 1997

MARINER FINANCIAL SERVICES, INC.

BD
CRD#: 8292
LARGO, FL
Past

April 5, 1996 - May 6, 1997

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
CONSHOHOCKEN, PA
Past

March 15, 1994 - November 27, 1995

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA
Past

March 15, 1994 - November 27, 1995

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AUSDAL FINANCIAL PARTNERS, INC.
AUSDAL FINANCIAL PARTNERS, INC.
1ST INSURANCE AGENCY | WPF WEALTH MANAGEMENT | WILSON WEALTH MANAGEMENT | WILSON CAPITAL MANAGEMENT | WILLY MIRANDA | WENGER FINANCIAL GROUP | WEALTH QC | WEALTH ADVISORS FINANCIAL GROUP, INC | WEALTH ADVISORS FINANCIAL GROUP | WATERSEED WEALTH MANAGEMENT | TOWER FINANCIAL MANAGEMENT COMPANY | TK FINANCIAL | TJ SULLIVAN & COMPANY | TIMBERLAND FINANCIAL GROUP | THOMAS G. SCHAEFER & ASSOCIATES | THE WENSTRUP COMPANY | THE SERPE INSURANCE AGENCY | THE ONLY CORNERSTONE | THE MCCAUSLAND GROUP | THE LANCASTER COMPANY | THE CF PARTNERS | STRAUTS CAPITAL MANAGEMENT | STRATEGIC FINANCIAL PLANNING | STERLING FINANCIAL ADVISORY SERVICES | SMITH INS & FINANCIAL | SLJ FINANCIAL | SILVER BIRCH CAPITAL ADVISORS | SHAMROCK FINANCIAL PLANNING | SEMRAU WEALTH STRATEGIES | SEABREEZE WEALTH MANAGEMENT | SCHNEIDER CONSULTANTS | SCHMIDT WEALTH MANAGEMENT | SBS STAR | SAN DIEGO FINANCIAL | SALTIEL WEALTH MANAGEMENT | SAFE HARBOR RETIREMENT CONSULTANTS | ROBERT B. AUSDAL & CO. INC. | RIVERSTONE ASSET MANAGEMENT | RETIREWELL USA | R-AXIS | Q C SECURE SOLUTIONS | PRAXIS CAPITAL AND INVESTMENT MANAGEMENT | PAXTON FINANCIAL SERVICES | PASSPORT WEALTH MANAGEMENT | OCEAN CREST WEALTH MANAGEMENT | NEWMAN & ASSOCIATES | NESTON WEALTH MANAGEMENT | MISSION CRITICAL FPI | MINT HILL WEALTH | MCLEMORE FINANCIAL | MCCAUSLAND GROUP | MBC INSURANCE GROUP | M. BROWN FINANCIAL ADVISORS | LICHTFUSS FINANCIAL SERVICES | LEONARD DIGATE INCOME PLANNING | KVASNICKA & KNEIP | KRM FINANCIAL SERVICES | KENTWOOD HOLDINGS, INC | KARSTENSON FINANCIAL SERVICES | JULIAN FINANCIAL GROUP | JOAN K. JOHNSON FINANCIAL | JML THE LANCASTER CO | JANKOWSKI FINANCIAL SERVICES | INTERVEST INTERNATIONAL, INC. | INTERVEST INTERNATIONAL EQUITIES CORPORATION | INTEGRITY FINANCIAL STRATEGIES | INSIGNIA WEALTH MANAGEMENT | INDIANO & COMPANY CPA'S INC | HOMER FINANCIAL INC | HINSDALE CAPITAL INVESTMENTS | HERITAGE PARTNERS | HANSON FINANCIAL | HALL FINANCIAL PARTNERS | GREENWAY ADVISORS | GRANITE INVESTMENT SERVICE | GOLDEN TRIANGLE FINANCIAL | GOLDEN IVY ASSOCIATES | GILBERTSEN FINANCIAL GROUP | FROMM INVESTMENT MANAGEMENT | FROLICSTEIN FINANCIAL WEALTH MANAGEMENT | FREEDOM FINANCIAL GROUP | FOX VALLEY FINANCIAL | FIRST GEN PLANNING | FETTIG & ASSOCIATES | FARLEY FINANCIAL | ENGEL WEALTH MANAGEMENT | ELLEFSON AND ASSOCIATES | DURMENT FINANCIAL PLANNING | DOWLING LEGACY AND RETIREMENT | DENNIS A. LIPOFF, PH.D & ASSOCIATES, LTD | DENIM AND DIAMONDS FINANCIAL SOLUTIONS | DEAN JOHNSON ADVISORY | DAVIS WEALTH ADVISORS | DANIELS, ALEXANDER & DANIELS | CROSS WALK WEALTH MANAGEMENT | CORNERSTONE ASSET MANAGEMENT GROUP, LLC | CLARITY GROUP MIDWEST | CHOICES FINANCIAL SERVICES | CHICAGO FINANCIAL ADVISORS | CARR WEALTH MANAGEMENT | CAPITAL BUSINESS STRATEGIES | C&C ASSET MANAGEMENT | BURGOYNE WEALTH MANAGEMENT | BIG TIMBER WEALTH MANAGEMENT | BEVERLY CURMANSKIE FINANCIAL, LLC | BERMAN CAPITAL MANAGEMENT AND RESEARCH | BCH WEALTH MANAGEMENT | BATLINER AND ASSOCIATES | B & N FINANCIAL | AUSDAL FINANCIAL PARTNERS, INC. | ARMOUR CAPITAL, LLC | ARBLASTER CONSULTING | APERATURE WEALTH PARTNERS | AMERICAN IRA ADVISOR | ALBERTS WEALTH ADVISORS, LLC

CRD#: 7995 / SEC#: 801-69266, 8-24519

RIA
Registered Investment Advisory firm - SEC (6/5/2008 Approved)
California
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)
Florida
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)
Illinois
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)
Iowa
Registered Investment Advisory firm - SEC (6/6/2008 Terminated)
Texas
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)
Washington
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(1/22/2025)
RR
Maryland
(3/10/2025)
RR
Ohio
(1/23/2025)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/14/1994
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AUSDAL FINANCIAL PARTNERS, INC.
AUSDAL FINANCIAL PARTNERS, INC.
1ST INSURANCE AGENCY | WPF WEALTH MANAGEMENT | WILSON WEALTH MANAGEMENT | WILSON CAPITAL MANAGEMENT | WILLY MIRANDA | WENGER FINANCIAL GROUP | WEALTH QC | WEALTH ADVISORS FINANCIAL GROUP, INC | WEALTH ADVISORS FINANCIAL GROUP | WATERSEED WEALTH MANAGEMENT | TOWER FINANCIAL MANAGEMENT COMPANY | TK FINANCIAL | TJ SULLIVAN & COMPANY | TIMBERLAND FINANCIAL GROUP | THOMAS G. SCHAEFER & ASSOCIATES | THE WENSTRUP COMPANY | THE SERPE INSURANCE AGENCY | THE ONLY CORNERSTONE | THE MCCAUSLAND GROUP | THE LANCASTER COMPANY | THE CF PARTNERS | STRAUTS CAPITAL MANAGEMENT | STRATEGIC FINANCIAL PLANNING | STERLING FINANCIAL ADVISORY SERVICES | SMITH INS & FINANCIAL | SLJ FINANCIAL | SILVER BIRCH CAPITAL ADVISORS | SHAMROCK FINANCIAL PLANNING | SEMRAU WEALTH STRATEGIES | SEABREEZE WEALTH MANAGEMENT | SCHNEIDER CONSULTANTS | SCHMIDT WEALTH MANAGEMENT | SBS STAR | SAN DIEGO FINANCIAL | SALTIEL WEALTH MANAGEMENT | SAFE HARBOR RETIREMENT CONSULTANTS | ROBERT B. AUSDAL & CO. INC. | RIVERSTONE ASSET MANAGEMENT | RETIREWELL USA | R-AXIS | Q C SECURE SOLUTIONS | PRAXIS CAPITAL AND INVESTMENT MANAGEMENT | PAXTON FINANCIAL SERVICES | PASSPORT WEALTH MANAGEMENT | OCEAN CREST WEALTH MANAGEMENT | NEWMAN & ASSOCIATES | NESTON WEALTH MANAGEMENT | MISSION CRITICAL FPI | MINT HILL WEALTH | MCLEMORE FINANCIAL | MCCAUSLAND GROUP | MBC INSURANCE GROUP | M. BROWN FINANCIAL ADVISORS | LICHTFUSS FINANCIAL SERVICES | LEONARD DIGATE INCOME PLANNING | KVASNICKA & KNEIP | KRM FINANCIAL SERVICES | KENTWOOD HOLDINGS, INC | KARSTENSON FINANCIAL SERVICES | JULIAN FINANCIAL GROUP | JOAN K. JOHNSON FINANCIAL | JML THE LANCASTER CO | JANKOWSKI FINANCIAL SERVICES | INTERVEST INTERNATIONAL, INC. | INTERVEST INTERNATIONAL EQUITIES CORPORATION | INTEGRITY FINANCIAL STRATEGIES | INSIGNIA WEALTH MANAGEMENT | INDIANO & COMPANY CPA'S INC | HOMER FINANCIAL INC | HINSDALE CAPITAL INVESTMENTS | HERITAGE PARTNERS | HANSON FINANCIAL | HALL FINANCIAL PARTNERS | GREENWAY ADVISORS | GRANITE INVESTMENT SERVICE | GOLDEN TRIANGLE FINANCIAL | GOLDEN IVY ASSOCIATES | GILBERTSEN FINANCIAL GROUP | FROMM INVESTMENT MANAGEMENT | FROLICSTEIN FINANCIAL WEALTH MANAGEMENT | FREEDOM FINANCIAL GROUP | FOX VALLEY FINANCIAL | FIRST GEN PLANNING | FETTIG & ASSOCIATES | FARLEY FINANCIAL | ENGEL WEALTH MANAGEMENT | ELLEFSON AND ASSOCIATES | DURMENT FINANCIAL PLANNING | DOWLING LEGACY AND RETIREMENT | DENNIS A. LIPOFF, PH.D & ASSOCIATES, LTD | DENIM AND DIAMONDS FINANCIAL SOLUTIONS | DEAN JOHNSON ADVISORY | DAVIS WEALTH ADVISORS | DANIELS, ALEXANDER & DANIELS | CROSS WALK WEALTH MANAGEMENT | CORNERSTONE ASSET MANAGEMENT GROUP, LLC | CLARITY GROUP MIDWEST | CHOICES FINANCIAL SERVICES | CHICAGO FINANCIAL ADVISORS | CARR WEALTH MANAGEMENT | CAPITAL BUSINESS STRATEGIES | C&C ASSET MANAGEMENT | BURGOYNE WEALTH MANAGEMENT | BIG TIMBER WEALTH MANAGEMENT | BEVERLY CURMANSKIE FINANCIAL, LLC | BERMAN CAPITAL MANAGEMENT AND RESEARCH | BCH WEALTH MANAGEMENT | BATLINER AND ASSOCIATES | B & N FINANCIAL | AUSDAL FINANCIAL PARTNERS, INC. | ARMOUR CAPITAL, LLC | ARBLASTER CONSULTING | APERATURE WEALTH PARTNERS | AMERICAN IRA ADVISOR | ALBERTS WEALTH ADVISORS, LLC

CRD#: 7995 / SEC#: 801-69266, 8-24519

RIA
Registered Investment Advisory firm - SEC (6/5/2008 Approved)
California
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)
Florida
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)
Illinois
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)
Iowa
Registered Investment Advisory firm - SEC (6/6/2008 Terminated)
Texas
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)
Washington
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
5187 Utica Ridge Rd, Davenport, IA 52807
Mailing Address
5187 Utica Ridge Rd, Davenport, IA 52807
Phone number
(563) 326-2064
Established
Iowa since 08/13/1979
Firm type
Corporation
Fiscal year end
January
Firm Size
Medium
# of Employees
405

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

AUSDAL FINANCIAL PARTNERS, INC. WRAP BROCHURE (3/31/2025)
AUSDAL FINANCIAL PARTNERS, INC. PART 2A BROCHURE (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
AFP HOLDCO, LLCSHAREHOLDER
HICKS, JOHN BRYANSHAREHOLDER,VICE PRESIDENT, BOARD MEMBER
ROBERTS, DAVID BRUCEVICE PRESIDENT, SHAREHOLDER, BOARD MEMBER
SHUMBERG, IVANA MFINOP3167225
SIMPSON, JAMES JEFFERSONSHAREHOLDER, CEO, BOARD MEMBER2204191
WESTCOMB, NATHAN DAVIDCHIEF COMPLIANCE OFFICER6342420

Regulatory assets under management

Total Number of Accounts10,402
AUM (Assets Under Management)$ 2,134,630,563

Disclosures

Regulatory Event1
Arbitration1

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
03/27/2025
Cover Page
Report
04/08/2024
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

AUSDAL FINANCIAL PARTNERS, INC.

AUSDAL FINANCIAL PARTNERS, INC.

CRD#: 7995Austintown, OH 44515

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