Gregory J. Wozniak

UNIVERSAL FINANCIAL ADVISORS

Lake Winnebago, MO

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CRD#: 2914251

Professional summary

Gregory John Wozniak, who also goes by Greg Wozniak, Gregory Wozniak, is a registered financial advisor currently at UNIVERSAL FINANCIAL ADVISORS, LLC located in Lake Winnebago, Missouri.

Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Gregory has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Greg Wozniak | Gregory Wozniak

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.

***LIONS CLUB OF LAKE WINNEBAGO FOUNDATION POSITION: President. NATURE: non paid - A 501(c)(3) Nonprofit Organization,Charitable Organization. INVESTMENT RELATED: No. NUMBER OF HOURS: 2. SECURITIES TRADING HOURS: 0. START DATE: 06/01/2012. ADDRESS: Lake Winnebago, MO. DESCRIPTION: President - lead annual meeting of the board of directors, and help decide which organizations in need we will support financially for the coming year. ***TRUE COMPASS FINANCIAL, LLC POSITION: OWNER/SALES. NATURE: Insurance sales. INVESTMENT RELATED: Yes. NUMBER OF HOURS: 4. SECURITIES TRADING HOURS: 4. START DATE: 03/2009. ADDRESS: Lake Winnebago, MO. DESCRIPTION: Insurance sales ***LAKE WINNEBAGO HOA POSITION: board member NATURE: board member of neighborhood HOA INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 03/08/2022 ADDRESS: 12 Winnebago Dr, Lake Winnebago MO 64034, United States DESCRIPTION: monthly committee meeting and monthly board meeting ***LAKE WINNEBAGO LIONS CLUB POSITION: treasurer NATURE: volunteer for Lake Winnebago Lions Club INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2018 ADDRESS: 289 N Winnebago Dr, Lake Winnebago MO 64034, United States DESCRIPTION: board member of the club/treasurer.volunteer at fundraiser and deposit donations received in club bank account.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory John Wozniak'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®

None

Experience

Current

August 16, 2022 - Present

UNIVERSAL FINANCIAL ADVISORS, LLC

RIA

CRD#: 318392

Lake Winnebago, MO

Past

January 3, 2022 - August 22, 2022

PFG ADVISORS

RIA

CRD#: 173344

Lake Winnebago, MO

Past

July 9, 2015 - June 27, 2023

SECURITIES AMERICA, INC.

CRD#: 10205

Lake Winnenbago, MO

Past

March 9, 2015 - December 15, 2021

BEAM WEALTH ADVISORS, INC.

RIA

CRD#: 109867

Lake Winnebago, MO

Past

January 28, 2010 - December 31, 2015

UNIVERSAL FINANCIAL PLANNING CONSULTANTS, INC.

RIA

CRD#: 8158

MILWAUKEE, WI

Past

October 29, 1997 - July 7, 1998

AMERICAN CENTURY INVESTMENT SERVICES INC.

CRD#: 17437

KANSAS CITY, MO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

UNIVERSAL FINANCIAL ADVISORS, LLC

UNIVERSAL FINANCIAL ADVISORS, LLC | UNIVERSAL FINANCIAL PLANNING CONSULTANTS, INC.

CRD#: 318392 / SEC#: 801-124991

RIA

Registered Investment Advisory firm - (5/11/2022 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

Investment Company Products/Variable Contracts Representative Examination

Current Firm

UNIVERSAL FINANCIAL ADVISORS, LLC

UNIVERSAL FINANCIAL ADVISORS, LLC | UNIVERSAL FINANCIAL PLANNING CONSULTANTS, INC.

CRD#: 318392 / SEC#: 801-124991

RIA

Registered Investment Advisory firm - (5/11/2022 Approved)

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Contact information

Main Address

333 S. Kirkwood Road Suite 301, St. Louis, MO 63122

Mailing Address

Phone number

(314) 721-5522

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UFA 2025 ANNUAL AMENDED ADV PART 2A (4/14/2025)

UFA 2025 ANNUAL AMENDED WRAP FEE BROCHURE (4/14/2025)

Regulatory assets under management

Total Number of Accounts	647
AUM (Assets Under Management)	$ 251,062,299

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Gregory J. Wozniak

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory John Wozniak's CRS (Customer Relationship Summary).

Certified licenses

Experience

PFG ADVISORS

SECURITIES AMERICA, INC.

BEAM WEALTH ADVISORS, INC.

UNIVERSAL FINANCIAL PLANNING CONSULTANTS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MUTUAL SERVICE CORPORATION

MUTUAL SERVICE CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

AMERICAN CENTURY INVESTMENT SERVICES INC.

Primary Firm SEC Registration

UNIVERSAL FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/24/2003

Series 63

Date: 12/2/1997

SIE

Date: 10/1/2018

Series 7

Date: 4/9/2003

Series 6

Date: 10/28/1997

Current Firm

UNIVERSAL FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

UNIVERSAL FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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