CP
Carmine J. Passante
AUSDAL FINANCIAL PARTNERS
Melville, NY 11747
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CRD#: 4151032
CP
Professional summary
Carmine Joseph Passante is a registered financial advisor currently at AUSDAL FINANCIAL PARTNERS, INC. located in Melville, New York.
Carmine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Carmine has worked at 18 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
OUTSIDE INSURANCE SALES; INVESTMENT RELATED; MELVILLE, NY; INSURANCE SALES; AGENT; ACTIVITY BEGAN IN 2004; I DEVOTE APPX 5 HOURS PER MONTH TO THIS ACTIVITY WITH NONE OF THOSE HOURS DURING TRADING HOURS; PROVIDE INSURANCE PRODUCTS TO CLIENTS AS NEEDED.
CRS (Client Relationship Summary) - RIA
Click below to view Carmine Joseph Passante's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carmine Joseph Passante'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®
NoneExperience
Current
December 26, 2024 - Present
AUSDAL FINANCIAL PARTNERS, INC.
Office #1: 68 S Service Road Suite 100, Melville, NY 11747RIA
BD
CRD#: 7995
Melville, NY
Current
December 26, 2024 - Present
AUSDAL FINANCIAL PARTNERS, INC.
Office #1: 68 S Service Road Suite 100, Melville, NY 11747RIA
BD
CRD#: 7995
Melville, NY
Past
October 11, 2024 - January 7, 2025
OSAIC WEALTH, INC.
RIA
CRD#: 23131
Melville, NY
Past
October 11, 2024 - January 7, 2025
OSAIC WEALTH, INC.
BD
CRD#: 23131
Melville, NY
Past
August 17, 2016 - October 11, 2024
AMERICAN PORTFOLIOS ADVISORS, INC
RIA
CRD#: 112697
HOLBROOK, NY
Past
August 15, 2016 - October 11, 2024
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
Melville, NY
Past
October 23, 2014 - August 17, 2016
LEGEND ADVISORY, LLC
RIA
CRD#: 104761
ASTORIA, NY
Past
October 21, 2014 - August 17, 2016
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
Astoria, NY
Past
May 2, 2014 - October 14, 2014
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
ASTORIA, NY
Past
November 22, 2013 - October 14, 2014
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
ASTORIA, NY
Past
March 1, 2011 - May 6, 2014
ASSET & FINANCIAL PLANNING, LTD
RIA
CRD#: 110709
ASTORIA, NY
Past
October 21, 2010 - November 5, 2010
ASSET & FINANCIAL PLANNING, LTD
RIA
CRD#: 110709
MASSAPEQUA PARK, NY
Past
October 19, 2010 - November 22, 2013
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
ASTORIA, NY
Past
July 17, 2009 - October 12, 2010
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
HOWARD BEACH, NY
Past
March 20, 2008 - October 12, 2010
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
HOWARD BEACH, NY
Past
April 29, 2004 - March 20, 2008
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
FARMINGDALE, NY
Past
January 9, 2003 - April 28, 2004
HARRISON SECURITIES, INC.
BD
CRD#: 14103
PORT WASHINGTON, NY
Past
January 7, 2003 - January 13, 2003
EKN FINANCIAL SERVICES INC.
BD
CRD#: 113525
MELVILLE, NY
Past
August 14, 2002 - January 9, 2003
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
Past
May 22, 2001 - August 7, 2002
LADENBURG CAPITAL MANAGEMENT INC.
BD
CRD#: 14623
BETHPAGE, NY
Past
April 9, 2001 - May 18, 2001
LADENBURG CAPITAL MANAGEMENT INC.
BD
CRD#: 14623
BETHPAGE, NY
Past
August 10, 2000 - March 29, 2001
DELTA ASSET MANAGEMENT COMPANY, LLC
BD
CRD#: 39923
MINEOLA, NY
Past
April 14, 2000 - September 19, 2000
ARGUS SECURITIES, INC.
BD
CRD#: 7400
HALLANDALE, FL
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
Connecticut(12/26/2024)
RR
Florida(12/26/2024)
RR
Maryland(12/26/2024)
RR
New Jersey(12/26/2024)
RR
New York(12/26/2024)
IAR
New York(12/26/2024)
RR
Virginia(12/26/2024)
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.
