Connie Klump is a seasoned professional in Licensing and Registration at Ausdal Financial Partners, Inc. , where she has worked for over 28 years. She holds an extensive array of securities licenses, including the Series 7, 24, 4, 27, and 99, showcasing her deep expertise in financial operations and compliance.
Her long-standing career with a single firm highlights her loyalty and deep institutional knowledge.
Connie Klump
Licensing and Registration at Ausdal Financial Partners, Inc.
Des Plaines, Illinois, United States
Overview
Topics They Care About
Securities Licensing
Her role is centered on licensing and registration, and she holds numerous FINRA certifications, including Series 7, 24, and 99. [Predicted]
Regulatory Compliance
Manages licensing and registration, a core function of financial compliance. Her clean 28-year record underscores a commitment to regulatory standards. [Predicted]
Broker-Dealer Operations
Holds both the Financial and Operations Principal (Series 27) and Operations Professional (Series 99) licenses, indicating deep expertise in firm operations. [Predicted]
Media Appearances
Connie has no verified media appearances
Work History
Licensing and Registration at Ausdal Financial Partners, Inc.
Education
Connie has no verified education history
More Information
Social Presence :
Prographics :
Exp : N/A
Location : Des Plaines, Illinois, United States
Job Level : N/A
Designation : Licensing and Registration at Ausdal Financial Partners, Inc.
