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MW

Michael A. Wasz

HPS SECURITIES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 1719854
MW

Professional summary

Michael Allen Wasz, CIMA® is a registered financial professional currently at HPS SECURITIES, LLC located in Chicago, Illinois.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1987. Michael has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Allen Wasz'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®
CIMA®

Certified Investment Management Analyst

Experience

Current

November 20, 2025 - Present

HPS SECURITIES, LLC

Office #1: 110 North Wacker Drive Suite 3775, Chicago, IL 60606
BD
CRD#: 319197
Chicago, IL
Past

April 5, 2023 - September 3, 2025

WEALTHFORGE SECURITIES, LLC

BD
CRD#: 152550
RICHMOND, VA
Past

September 17, 2019 - August 9, 2022

IMST DISTRIBUTORS, LLC

BD
CRD#: 130745
PORTLAND, ME
Past

December 3, 2009 - May 30, 2019

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA
Past

March 26, 2007 - May 30, 2019

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

BD
CRD#: 13594
SAN MATEO, CA
Past

March 18, 1993 - March 26, 2007

TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.

BD
CRD#: 27884
SAN MATEO, CA
Past

November 27, 1987 - March 20, 1993

CALAMOS FINANCIAL SERVICES LLC

BD
CRD#: 19850
NAPERVILLE, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Alabama
(11/20/2025)
RR
Alaska
(11/20/2025)
RR
Arizona
(11/20/2025)
RR
Arkansas
(11/20/2025)
RR
California
(11/20/2025)
RR
Colorado
(11/20/2025)
RR
Connecticut
(11/20/2025)
RR
Delaware
(11/20/2025)
RR
District of Columbia
(11/20/2025)
RR
Florida
(11/20/2025)
RR
Georgia
(11/20/2025)
RR
Hawaii
(11/20/2025)
RR
Idaho
(11/20/2025)
RR
Illinois
(11/20/2025)
RR
Indiana
(11/20/2025)
RR
Iowa
(11/20/2025)
RR
Kansas
(11/20/2025)
RR
Kentucky
(11/20/2025)
RR
Louisiana
(11/20/2025)
RR
Maine
(11/20/2025)
RR
Maryland
(11/20/2025)
RR
Massachusetts
(11/20/2025)
RR
Michigan
(11/20/2025)
RR
Minnesota
(11/20/2025)
RR
Mississippi
(11/20/2025)
RR
Missouri
(11/20/2025)
RR
Montana
(11/20/2025)
RR
Nebraska
(11/20/2025)
RR
Nevada
(11/20/2025)
RR
New Hampshire
(11/20/2025)
RR
New Jersey
(11/20/2025)
RR
New Mexico
(11/20/2025)
RR
New York
(11/20/2025)
RR
North Carolina
(11/20/2025)
RR
North Dakota
(11/20/2025)
RR
Ohio
(11/20/2025)
RR
Oklahoma
(11/20/2025)
RR
Oregon
(11/20/2025)
RR
Pennsylvania
(11/20/2025)
RR
Rhode Island
(11/20/2025)
RR
South Carolina
(11/20/2025)
RR
South Dakota
(11/20/2025)
RR
Tennessee
(11/20/2025)
RR
Texas
(11/20/2025)
RR
Utah
(11/20/2025)
RR
Vermont
(11/20/2025)
RR
Virginia
(11/20/2025)
RR
Washington
(11/20/2025)
RR
West Virginia
(11/20/2025)
RR
Wisconsin
(11/20/2025)
RR
Wyoming
(11/20/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/16/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/16/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 5/19/2017
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 4/16/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 11/24/1987
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HPS SECURITIES, LLC
HPS SECURITIES, LLC

CRD#: 319197 / SEC#: , 8-70910

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
40 West 57th Street 33rd Floor, New York, NY 10019
Mailing Address
40 West 57th Street 33rd Floor, New York, NY 10019
Phone number
(212) 287-6767
Established
Delaware since 02/07/2022
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HPS GROUP HOLDINGS II, LLCSOLE MEMBER
CHRISTMAS, JOHN EDWARDPRESIDENT2772276
STAMOVA, ILINA SFINANCIAL AND OPERATIONS PRINCIPAL5500851
VIRGILIO, JOSEPH JAMESCHIEF COMPLIANCE OFFICER2041281

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.

Company Information

HPS SECURITIES, LLC

CRD#: 319197Chicago, IL 60606

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