Unclaimed Profile

Thomas Arthur Hopkins

AUSDAL FINANCIAL PARTNERS, INC.·DAVENPORT, Iowa

SIE, Series 1, Series 7TO, Series 24, Series 27, Series 39, Series 63, Series 65, Series 99TO28 years registeredAUSDAL FINANCIAL PARTNERS, INC.

5187 UTICA RIDGE RD, DAVENPORT, IA 52807CRD# 249956Firm CRD# 7995

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Thomas Arthur Hopkins · DAVENPORT, IA

Registration

CRD #249956 · AUSDAL FINANCIAL PARTNERS, INC. · 28 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: AUSDAL FINANCIAL PARTNERS, INC.

AUSDAL FINANCIAL PARTNERS, INC.

Dec 2017 – Feb 2022

DOWNERS GROVE, IL

AUSDAL FINANCIAL PARTNERS, INC.

Feb 2008 – Dec 2015

DOWNERS GROVE, IL

ROBERT B. AUSDAL & CO. INC.

Feb 2008 – Feb 2008

DOWNERS GROVE, IL

WATERSTONE FINANCIAL GROUP, INC.

Feb 1998 – Jan 2008

DEERFIELD, IL

STERLING PORTFOLIO ALLOCATION SERVICE INC

Jan 1998 – Dec 2003

ITASCA, IL

Registrations & Exams

FINRA examinations passed

SIE

Series 1

Series 7TO

Series 24

Series 27

Series 39

Series 63

Series 65

Series 99TO

Registration record

First registered · January 16, 1998

Years registered · 28

Disclosure History

1995Customer Dispute·Settled

1994Customer Dispute·Settled

13 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

AUSDAL FINANCIAL PARTNERS, INC.

CRD 7995 · SEC 801-69266

AUM

$1.5B

Regulatory assets under management

Employees

317

8,079 client accounts

Services offered by AUSDAL FINANCIAL PARTNERS, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at AUSDAL FINANCIAL PARTNERS, INC. →

Introduction

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Frequently Asked Questions

What services does Thomas Arthur Hopkins offer?

Thomas Arthur Hopkins specializes in Financial Planning, Investment Management, Wealth Management.

What are Thomas Arthur Hopkins's credentials?

Thomas Arthur Hopkins is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Thomas Arthur Hopkins located?

Thomas Arthur Hopkins is based in DAVENPORT, Iowa, last registered with AUSDAL FINANCIAL PARTNERS, INC..

How does Thomas Arthur Hopkins charge for services?

Thomas Arthur Hopkins's firm is compensated through percentage of aum, hourly charges, subscription fees, commissions, other: revenue sharing. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is AUSDAL FINANCIAL PARTNERS, INC.?

AUSDAL FINANCIAL PARTNERS, INC. has approximately 317 employees and manages $1.5B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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