Christopher Michael Allen

NAVIAN CAPITAL SECURITIES LLC

CINCINNATI, OH · CRD#

INVST, LLC

Vernon Hills, IL · CRD#

PRINCIPAL SECURITIES, INC.

Tracy, CA · CRD#

SHERPA CAPITAL MANAGEMENT

HOCKESSIN, DE · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

20 years registered in the securities industry

Current & Past Employments

Current

AUSDAL FINANCIAL PARTNERS, INC.Current·CRD# 7995

RIA

BD

1206 N. Main Street, N. Canton, OH 44720

July 24, 2025 - Present

AUSDAL FINANCIAL PARTNERS, INC.Current·CRD# 7995

RIA

BD

1206 N. Main Street, N. Canton, OH 44720

July 18, 2025 - Present

Past

FORTUNE FINANCIAL SERIVCES, LLCPast·CRD# 42150

BD

North Canton, OH

February 1, 2021 - July 21, 2025

EXODUS WEALTH, LLCPast·CRD# 174328

RIA

San Ramon, CA

February 3, 2021 - January 31, 2024

CORECAP ADVISORSPast·CRD# 158819

RIA

Canton, OH

December 1, 2017 - February 1, 2021

CORECAP INVESTMENTS, LLCPast·CRD# 37068

BD

Canton, OH

December 1, 2017 - February 1, 2021

INVESTMENT NETWORK, INC.Past·CRD# 127724

RIA

N. Canton, OH

April 17, 2015 - December 1, 2017

INVESTMENT NETWORK, INC.Past·CRD# 127724

BD

N. Canton, OH

March 12, 2013 - December 1, 2017

FORESTERS EQUITY SERVICES, INC.Past·CRD# 18464

BD

Canton, OH

January 20, 2010 - March 8, 2013

CETERA ADVISORS LLCPast·CRD# 10299

BD

North Canton, OH

July 28, 2006 - October 8, 2008

INVESTMENT NETWORK, INC.Past·CRD# 127724

BD

Uniontown, OH

February 6, 2006 - July 18, 2006

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NAVIAN CAPITAL SECURITIES LLC

CINCINNATI, OH · CRD#

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Tracy, CA · CRD#

SHERPA CAPITAL MANAGEMENT

HOCKESSIN, DE · CRD#

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

Current Firm

AUSDAL FINANCIAL PARTNERS, INC.

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

306

SEC notice filing (51 States and Territories)

Registered to provide investment advisory services in 51 US states and territories.

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 51 US states and territories.

Documents

Part 2 Brochures

AUSDAL FINANCIAL PARTNERS, INC. WRAP BROCHURE (4/9/2026)

AUSDAL FINANCIAL PARTNERS, INC. PART 2A BROCHURE (4/9/2026)

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

16,572

AUM (Assets Under Management)

$3,733,313,940

Disclosures

Regulatory Event

1

Arbitration

1

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
03/27/2025	Cover Page	Report
04/08/2024	Cover Page	Report

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

DIGNITY MARKETING GROUP, LLC PARTNER OF S CORP OF METRO MORTUARY TRANSPORTATION SERVICES, INC; INVESTMENT RELATED; CANTON, OH; INDEPENDENT MARKETING ORGNIZATION; CO-OWNER/PARTNER; ACTIVITY BEGAN 04/2015; I DEVOTE APPX 50-60 HOURS PER MONTH WITH 40-50 OF THOSE HOURS DURING TRADING HOURS; INSURANCE SALES FROM ILLUSTRATIONS TO PROCESSING OF APPLICATIONS AND CASE FOLLOW UP. DIGNITY INSURANCE GROUP; INVESTMENT RELATED; CANTON, OH; OUTSIDE INSURANCE SALES; AGENT/PARTNER; ACTIVITY BEGAN 06/2019; RUN CLIENT ILLUSTRATIONS, REVIEW THIS WITH CLIENTS, COMPLETE APPLICATIONS AND DELIVER POLICIES. FEDERAL BENEFIT CONSULTANTS, LLC; NOT INVESTMENT RELATED; CANTON, OH; HEALTH INSURANCE LLC; OWNER; ACTIVITY BEGAN IN 03/2016; I DEVOTE LESS THAN ONE HOUR TO THIS ACTIVITY WITH NONE DURING TRADING HOURS; LLC ACCEPTS RENEWAL COMMISSIONS. DIGNITY TAX SERVICE; NOT INVESTMENT RELATED; CANTON, OH; TAX PREPARATION; PRESIDENT/PARTNER; ACTIVITY BEGAN 12/2016; I DEVOTE APPX 160 HOURS PER WK JAN-APRIL ALL DURING TRADING HOURS AND MUCH LESS TIME (APPX 15 HOURS PER MONTH) AFTER TAX SEASON; TAX RETURN PREPARATION AND TAX REVIEWS AND TAX PLANNING. FRETZ4VETS; NOT INVESTMENT RELATED; CANTON, OH; ASSIST VETERANS WITH MUSIC LESSONS; BOARD MEMBER; ACTIVITY BEGAN 04/2025; I DEVOTE 1-5 HOURS PER MONTH WITH ONE OF THOSE HOURS DURING TRADING HOURS; ASSIST WITH MARKETING, DONATIONS AND TAX RETURN. OHIO HEROES; NOT INVESTMENT RELATED; CANTON, OH; CHARITABLE ORG ASSISTING FIRST RESPONDERS; BOARD MEMBER; ACTIVITY BEGAN 05/2020; I DEVOTE APPX 10-15 HOURS PER MONTH WITH 5 OF THOSE HOURS DURING TRADING HOURS; ASSIST WITH GOLF OUTING; DONATIONS; SPEAKING ENGAGEMENTS. DIGNITY LIFE MARKETING GROUP; NOT INVESTMENT RELATED; NORTH CANTON, OH; LLC THAT RECEIVES RENEWAL COMMISSIONS; OWNER; ACTIVITY BEGAN 2014; I DEVOTE NO TIME TO THIS ACTIVITY; ACTIVE LLC THAT RECEIVES RENEWAL COMMISSIONS FOR LIFE INSURANCE PRODUCTS PREVIOUSLY SOLD.

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