Steven Nivens
Steven Nivens is a CFP-designated registered investment advisor at Ausdal Financial Partners, INC., based in Westchester, IL, with 37 years of industry experience. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 10,402 clients with $2.1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Ausdal Financial Partners offers several investment management programs. Fees vary depending on the program and custodian.
Advisor Managed Account (AMP): Fees are negotiated with your advisor, with a maximum annual fee of 3%. Wrap accounts include all transaction costs, while non-wrap accounts charge separately for advisory services and transactions.
Third Party Managed Accounts (SMA/UMA): Fees consist of an Investment Advisor Representative Fee, a Platform Fee (0.11% to 0.28%), and a Manager Fee (0% to 0.80%).
Retirement Plan Advisory Program: Maximum annual fee of 3%. Fees can be a fixed percentage or tiered based on account assets.
Held Away Accounts (Pontera): Maximum advisory fee of 1.5% of account assets. Fees must be deducted from an alternate advisory account or billed directly to the client.
Location
One Westbrook Corporate Ctr., Suite 300, Westchester, IL, 60154
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Steven is an insurance agent since 2008, selling fixed life, health, and disability insurance, dedicating a few hours per week to this. He also refers people to travel insurance and Medicare plans, spending minimal time on these activities.
Employment History
Current Registrations
Ausdal Financial Partners, INC.Broker
Ausdal Financial Partners, INC.
Previous Registrations
Qa3 Financial LLC
Qa3 Financial CORP.Broker
Waterstone Financial Group, INC.
Waterstone Financial Group, INC.Broker
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
Robert W. Baird & CO. IncorporatedBroker
Robert W. Baird & CO. IncorporatedBroker
Northwestern Mutual Investment Services, LLCBroker
Robert W. Baird & CO. IncorporatedBroker
Tucker Anthony IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Banc One Capital CorporationBroker
Banc One Securities CorporationBroker
Banc One Wisconsin Investment Services CorporationBroker
State Registrations5 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.