Nicholas Cannon

AUSDAL FINANCIAL PARTNERS

CANFIELD, OH 44406

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CRD#: 6976594

Professional summary

Nicholas Cannon, who also goes by Nick Cannon, is a registered financial advisor currently at AUSDAL FINANCIAL PARTNERS, INC. located in Canfield, Ohio.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Nicholas has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nick Cannon

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.OUTSIDE INSURANCE SALES; INVESTMENT RELATED; CANFIELD OH; OUTSIDE INSURANCE SALES; AGENT; ACTIVITY BEGAN IN 2014; I DEVOTE APPX 20 HOURS PER MONTH TO THIS ACTIVITY WITH NONE OF THOSE HOURS DURING TRADING HOURS; ASSIST CLIENTS WITH INSURANCE NEEDS. 2. GREEN STREET FINANCIAL GROUP INC; INVESTMENT RELATD; NEW MIDDLETON, OH; INSURACE SALES OF LIFE, HEALTH, LCT; ACTIVITY BEGAN 06/2025; I DEVOTE 10 HOURS PER MONTH TO THIS ACTIVITY WITH ALL OF THOSE HOURS DURING TRADING HOURS; SALE OF LIFE; HEALTH AND LTC INSURANCE PRODUCTS WILL RUN THROUGH THIS ENTITY. 3. CAPITAL SHIFT STRATEGIES; INVESTMENT RELATED; CANFIELD, OH; REAL ESTATE 1031 EXCHANGES; OWNER; ACTIVITIVY BEGAN 10/2023; WEB PAGE FOR 1031 EXCHANGES INFORMATION; TIME DEVOTED IS ONLY AS NEEDED FOR CLIENT NEEDS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Cannon's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Cannon'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

February 18, 2025 - Present

AUSDAL FINANCIAL PARTNERS, INC.

Office #1: 43 N. Broad Street, Canfield, OH 44406

RIA

CRD#: 7995

CANFIELD, OH

Current

February 14, 2025 - Present

AUSDAL FINANCIAL PARTNERS, INC.

Office #1: 43 N. Broad Street, Canfield, OH 44406

RIA

CRD#: 7995

CANFIELD, OH

Past

October 11, 2024 - February 20, 2025

OSAIC WEALTH, INC.

RIA

CRD#: 23131

CANFIELD, OH

Past

October 11, 2024 - February 20, 2025

OSAIC WEALTH, INC.

CRD#: 23131

CANFIELD, OH

Past

May 18, 2021 - October 11, 2024

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

May 18, 2021 - October 11, 2024

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

CANFIELD, OH

Past

October 10, 2018 - November 22, 2019

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

August 20, 2018 - November 22, 2019

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

CANFIELD, OH

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.

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)

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).

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.

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

Arizona
(2/14/2025)

California
(2/14/2025)

Colorado
(2/14/2025)

Delaware
(2/14/2025)

Florida
(2/14/2025)

Georgia
(2/14/2025)

Illinois
(2/14/2025)

Indiana
(2/14/2025)

Kentucky
(2/14/2025)

Maine
(2/14/2025)

Maryland
(2/14/2025)

Massachusetts
(2/14/2025)

Michigan
(2/14/2025)

Missouri
(2/14/2025)

Montana
(7/1/2025)

Nevada
(2/14/2025)

New York
(2/14/2025)

North Carolina
(2/27/2025)

Ohio
(2/14/2025)

IAR

Ohio
(2/18/2025)

Oklahoma
(2/14/2025)

Pennsylvania
(2/14/2025)

South Carolina
(2/14/2025)

Tennessee
(2/14/2025)

Texas
(2/14/2025)

Wyoming
(2/14/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/8/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/2018

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/12/2022

General Securities Principal Examination

SRO Registrations

FINRA

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)

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)

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

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	Cover Page	Report
04/08/2024	Cover Page	Report
01/31/2023	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.

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Advisor Monitoring

Firm Stability Insights

Nicholas Cannon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Cannon's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Cannon's CRS (Customer Relationship Summary).

Certified licenses

Experience

AUSDAL FINANCIAL PARTNERS, INC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

AUSDAL FINANCIAL PARTNERS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/8/2018

SIE

Date: 10/1/2018

Series 7

Date: 8/20/2018

Series 24

Date: 7/12/2022

FINRA

Current Firm

AUSDAL FINANCIAL PARTNERS, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

AUSDAL FINANCIAL PARTNERS, INC.

TRUST BUT VERIFY

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