Thomas Dale Herr
Investment Adviser Representative at Ausdal Financial Partners, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Thomas Dale Herr is an investment adviser representative with Ausdal Financial Partners, Inc. in Chicago, IL, where they have been registered since 2009. They have worked in the securities industry since 1987 and were previously registered with Waterstone Financial Group, Inc. They have passed 6 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in Illinois.
Registrations & licenses
- Investment adviser:
- Illinois
- Broker:
6 states and territories
Illinois, New Jersey, New York, Texas, Utah, Wisconsin
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Guardian LIFE Insurance CompanyFeb 1991 – no end date reportedNew York, NY
- Serpe InsuranceOct 2002 – no end date reportedChicago, IL
- Cunningham GroupAug 2005 – no end date reportedOak Park, IL
- Ausdal Financial Partners, Inc.Mar 2009 – no end date reportedChicago, IL
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Ausdal Financial Partners, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Hourly
- Fixed fee
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 191
- Offices listed on AdvisorFinder:
- 27
- Main office:
- Davenport, IA
- SEC file number:
- 801-69266
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of April 13, 2026
View full firm profileOther advisors at Ausdal Financial Partners, Inc.
Showing 12 of 191 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Thomas Dale Herr has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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