KI
Kathleen M. Indiano
AUSDAL FINANCIAL PARTNERS
BROADVIEW HEIGHTS, OH 44147
Some features on this profile are disabled
CRD#: 4495871
KI
Professional summary
Kathleen Marie Indiano is a registered financial advisor currently at AUSDAL FINANCIAL PARTNERS, INC. located in Broadview Heights, Ohio.
Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Kathleen has worked at 9 firms and has passed the Series 66, 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.
1. INDIANO & COMPANY CPAS, INC.; INVESTMENT RELATED; BROADVIEW HEIGHTS, OH; PUBLIC ACCOUNTING FIRM; PRESIDENT/OWNER; ACTIVITY BEGAN 1998; I DEVOTE APPX 80 HOURS PER MONTH TO THIS ACTIVITY IWTH 40 OF THOSE HOURS DURING TRADING HOURS; MANAGE & OPERATE PUBLIC ACCOUNTING FIRM THAT PROVIDES ACCOUNTING & TAX RELATED SERVICES. 2. OUTSIDE INSURANCE SALES; INVESTMENT RELATED; BROADVIEW HEIGHTS, OH; INSURANCE SALES; AGENT; ACTIVITY BEGAN 2002; I DEVOTE APPX 10 HOURS PER MONTH TO THIS ACTIVITY WITH ALL OF THOSE HOURS DURING TRADING HOURS; ASSIST CLIENTS WITH INSURANCE NEEDS.
CRS (Client Relationship Summary) - RIA
Click below to view Kathleen Marie Indiano's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Marie Indiano'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
February 21, 2025 - Present
AUSDAL FINANCIAL PARTNERS, INC.
Office #1: 6001 E Royalton Road, Suite 180, Broadview Heights, OH 44147RIA
BD
CRD#: 7995
BROADVIEW HEIGHTS, OH
Current
February 21, 2025 - Present
AUSDAL FINANCIAL PARTNERS, INC.
Office #1: 6001 E Royalton Road, Suite 180, Broadview Heights, OH 44147RIA
BD
CRD#: 7995
BROADVIEW HEIGHTS, OH
Past
October 11, 2024 - February 25, 2025
OSAIC WEALTH, INC.
RIA
CRD#: 23131
Broadview Heights, OH
Past
October 11, 2024 - February 25, 2025
OSAIC WEALTH, INC.
BD
CRD#: 23131
Broadview Heights, OH
Past
December 7, 2017 - October 11, 2024
AMERICAN PORTFOLIOS ADVISORS, INC
RIA
CRD#: 112697
HOLBROOK, NY
Past
November 30, 2017 - October 11, 2024
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
Broadview Heights, OH
Past
October 15, 2008 - December 1, 2017
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
BROADVIEW HEIGHTS, OH
Past
October 15, 2008 - December 1, 2017
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
BROADVIEW HEIGHTS, OH
Past
February 17, 2005 - October 17, 2008
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
BRECKSVILLE, OH
Past
February 16, 2005 - October 17, 2008
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
BRECKSVILLE, OH
Past
August 12, 2003 - February 4, 2005
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
AKRON, OH
Past
July 5, 2002 - February 4, 2005
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
Past
February 20, 2002 - July 2, 2002
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
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
Alabama(2/21/2025)
RR
Arizona(2/21/2025)
IAR
Arizona(3/7/2025)
RR
California(2/21/2025)
RR
Colorado(2/21/2025)
IAR
Colorado(2/24/2025)
RR
District of Columbia(2/21/2025)
IAR
District of Columbia(5/16/2025)
RR
Florida(2/21/2025)
IAR
Florida(2/24/2025)
RR
Georgia(2/21/2025)
RR
Hawaii(2/21/2025)
RR
Illinois(2/21/2025)
RR
Indiana(2/21/2025)
RR
Kansas(2/21/2025)
RR
Kentucky(2/21/2025)
RR
Maryland(2/21/2025)
RR
Massachusetts(2/21/2025)
RR
Michigan(2/21/2025)
RR
Minnesota(2/21/2025)
RR
Missouri(2/21/2025)
RR
Nevada(2/21/2025)
RR
New Jersey(2/21/2025)
RR
New York(2/21/2025)
RR
Ohio(2/21/2025)
IAR
Ohio(2/24/2025)
RR
Oregon(2/21/2025)
RR
Pennsylvania(2/21/2025)
RR
South Carolina(2/21/2025)
RR
Texas(2/21/2025)
IAR
Texas(2/21/2025)
RR
Virginia(2/21/2025)
RR
Washington(2/21/2025)
RR
Wisconsin(2/21/2025)
Exams
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.
