DL
Daniel M. Lundquist
AUSDAL FINANCIAL PARTNERS
Elgin, IL 60123
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CRD#: 2784929
DL
Professional summary
Daniel Matthew Lundquist, CFP®, who also goes by Dan Lundquist, Daniel M Lundquist, is a registered financial advisor currently at AUSDAL FINANCIAL PARTNERS, INC. located in Elgin, Illinois.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Daniel has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan Lundquist | Daniel M Lundquist
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.
1. EDUCATION PRESENTER; 401(K) GENERAL PLAN EDUCATION SERVICES; STARTED 6/1/2011; 5-10 HR/MONTH WITH ALL BEING DURING TRADING HOURS; NON-INVESTMENT RELATED; FEE BASED COMPENSATION. 2. MEDIGAP REFERRALS; INVESTMENT RELATED; ELGIN, IL; REFERROR; ACTIVITY BEGAN 12/2020; I DEVOTE APPX 1 HOUR PER MONTH DURING TRADING HOURS TO THIS ACTIVITY; CLIENT REFERALS TO FIRM THAT SPECIALIZES IN MEDIGAP INSURANCE. 3. INSURANCE SALES; INVESTMENT RELATED;AGENT; ELGIN, IL; HEALTH AND LIFE INSURANCE SALES; AGENT; ACTIVITY BEGAN 1/2001; I DEVOTE APPX 5-10 HOURS PER MONTH TO THIS ACTIVITY ALL DURING TRADING HOURS; SALE OF VARIOUS INSURANCE PRODUCTS. 4. WILD RELD PARTNERS; NON INVESTMENT RELATED; HUNTLEY, IL; REAL ESTATE PROPERTY; PARTNER; ACTIVITY BEGAN IN 05/1997; I DEVOTE LESS THAN ONE HOUR TO THIS ACTIVITY PER MONTH, WITH NO HOURS DURING TRADING HOURS; COLLECT MONTHLY DUES TO OPERATE FAMILY VACATION HOME. 5. FIELDS OF WILLOW HILL; NON INVESTMENT RELATED; HUNTLEY, IL; HOMEOWNERS ASSOCIATION; VICE PRESIDENT OF ASSOC; ACTIVITY BEGAN 11/2024; I DEVOTE 1 HOUR PER MONTH TO THIS ACTIVITY DURING TRADING HOURS; ASSIST IN THE ADMINISTRATION OF THE HOME OWNERS ASSOCIATION FOR NEIGHBORHOOD DEVELOPMENT.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Matthew Lundquist's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Matthew Lundquist's 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®
CFP®
Start date: 1998
Experience
Current
April 1, 2011 - Present
AUSDAL FINANCIAL PARTNERS, INC.
Office #1: 2250 Point Blvd Ste 320, Elgin, IL 60123RIA
BD
CRD#: 7995
Elgin, IL
Current
April 1, 2011 - Present
AUSDAL FINANCIAL PARTNERS, INC.
Office #1: 2250 Point Blvd Ste 320, Elgin, IL 60123RIA
BD
CRD#: 7995
Elgin, IL
Past
November 30, 2010 - April 27, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
NORTHBROOK, IL
Past
October 19, 2010 - April 19, 2011
INDEPENDENT FINANCIAL PARTNERS
RIA
CRD#: 125112
NORTHBROOK, IL
Past
September 29, 2010 - December 31, 2010
SHERIDAN ROAD ADVISORS, LLC
RIA
CRD#: 136198
NORTHBROOK, IL
Past
March 3, 2008 - December 1, 2010
NRP ADVISORS, INC.
RIA
CRD#: 141430
NORTHBROOK, IL
Past
December 12, 2006 - October 16, 2008
NRP FINANCIAL, INC.
RIA
CRD#: 103717
NORTHBROOK, IL
Past
December 12, 2006 - November 30, 2010
NRP FINANCIAL, INC.
BD
CRD#: 103717
NORTHBROOK, IL
Past
April 27, 2000 - December 13, 2006
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
NORTHBROOK, IL
Past
November 5, 1996 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
November 5, 1996 - December 13, 2006
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NORTHBROOK, IL
Past
August 22, 1996 - October 11, 1996
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
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.
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(1/11/2024)
IAR
Arizona(1/29/2024)
RR
Colorado(11/9/2015)
RR
Florida(4/1/2011)
RR
Georgia(10/21/2021)
RR
Idaho(12/13/2018)
RR
Illinois(4/1/2011)
IAR
Illinois(4/1/2011)
RR
Indiana(3/26/2013)
RR
Kansas(5/20/2013)
RR
Massachusetts(2/7/2012)
RR
Michigan(5/20/2014)
RR
Missouri(12/4/2024)
IAR
Montana(1/22/2024)
IAR
New York(5/21/2021)
RR
New York(10/17/2022)
RR
Ohio(8/3/2022)
RR
Tennessee(1/6/2020)
IAR
Texas(1/9/2024)
RR
Texas(11/12/2025)
RR
Utah(7/7/2023)
RR
Wisconsin(11/1/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
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)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AFP HOLDCO, LLC | SHAREHOLDER | |
| HICKS, JOHN BRYAN | SHAREHOLDER,VICE PRESIDENT, BOARD MEMBER | |
| ROBERTS, DAVID BRUCE | VICE PRESIDENT, SHAREHOLDER, BOARD MEMBER | |
| SHUMBERG, IVANA M | FINOP | 3167225 |
| SIMPSON, JAMES JEFFERSON | SHAREHOLDER, CEO, BOARD MEMBER | 2204191 |
| WESTCOMB, NATHAN DAVID | CHIEF COMPLIANCE OFFICER | 6342420 |
Regulatory assets under management
| Total Number of Accounts | 10,402 |
| AUM (Assets Under Management) | $ 2,134,630,563 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/27/2025 | ||
| 04/08/2024 | ||
| 01/31/2023 |
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.
CRD#: 7995Elgin, IL 60123TRUST BUT VERIFY
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