Dennis C. Wassung

ABBOT FINANCIAL MANAGEMENT,

Andover, MA 01810

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CRD#: 4127189

Professional summary

Dennis Carl Wassung JR. is a registered financial advisor currently at ABBOT FINANCIAL MANAGEMENT, INC located in Andover, Massachusetts.

Dennis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Dennis has worked at 5 firms and has passed the Series 63, SIE, Series 22, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Dennis Carl Wassung JR.'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

July 9, 2019 - Present

ABBOT FINANCIAL MANAGEMENT, INC

Office #1: 63 Park Street Suite 202, Andover, MA 01810

RIA

CRD#: 111040

Andover, MA

Past

April 10, 2018 - June 24, 2019

HUNTWICKE SECURITIES, LLC

CRD#: 146993

Topsfield, MA

Past

January 30, 2017 - June 17, 2019

ESSEX PRIVATE WEALTH MANAGEMENT LLC

RIA

CRD#: 149991

TOPSFIELD, MA

Past

October 28, 2009 - October 25, 2016

CABOT WEALTH MANAGEMENT

RIA

CRD#: 107327

SALEM, MA

Past

March 30, 2000 - January 10, 2008

CANACCORD GENUITY LLC

CRD#: 1020

BOSTON, MA

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".

ABBOT FINANCIAL MANAGEMENT, INC

CRD#: 111040 / SEC#: 801-19944

RIA

Registered Investment Advisory firm - (11/3/1983 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

IAR

Massachusetts
(7/9/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/17/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 4/10/2018

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 87

Date: 1/4/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 3/29/2000

General Securities Representative Examination

Current Firm

ABBOT FINANCIAL MANAGEMENT, INC

CRD#: 111040 / SEC#: 801-19944

RIA

Registered Investment Advisory firm - (11/3/1983 Approved)

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Contact information

Main Address

63 Park Street Suite 202, Andover, MA 01810

Mailing Address

Phone number

(978) 688-9010

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

09 24 2025 ABB FORM ADV PART 2A AND 2B FINAL (9/24/2025)

Regulatory assets under management

Total Number of Accounts	515
AUM (Assets Under Management)	$ 302,994,864

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
08/26/2024	Cover Page	Report
03/12/2024	Cover Page	Report

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.

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Dennis C. Wassung

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Carl Wassung JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

HUNTWICKE SECURITIES, LLC

ESSEX PRIVATE WEALTH MANAGEMENT LLC

CABOT WEALTH MANAGEMENT

CANACCORD GENUITY LLC

Primary Firm SEC Registration

ABBOT FINANCIAL MANAGEMENT, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/17/2018

SIE

Date: 10/1/2018

Series 22

Date: 4/10/2018

Series 87

Date: 1/4/2005

Series 7

Date: 3/29/2000

Current Firm

ABBOT FINANCIAL MANAGEMENT, INC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ABBOT FINANCIAL MANAGEMENT, INC

TRUST BUT VERIFY

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