WU
Wayne M. Ushman
ASSABET ADVISORS
Holden, MA 01520
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CRD#: 4686174
WU
Professional summary
Wayne Martin Ushman is a registered financial advisor currently at ASSABET ADVISORS, LLC located in Holden, Massachusetts.
Wayne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Wayne has worked at 1 firm .
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.
(1.) NAME OF OBA: JEFFCO FIBRES GROUP, INC. (FKA JFI GROUP, INC. BOARD OF DIRECTORS); INVESTMENT RELATED; ADDRESS: WEBSTER, MA 01570; NATURE OF OBA: ACTS AS A HOLDING COMPANY AND MANAGER FOR FOAM AND FIBER PRODUCTS COMPANIES; POSITION: BOARD MEMBER; START DATE: 2023; APPROX. NUMBER OF HOURS/MONTH: 3; NUMBER OF HOURS DURING SECURITIES TRADING HOURS: 2; DUTIES: ATTENDS BOARD AND OTHER MEETINGS OF AFFILIATED ENTITIES. DISCUSSION TOPICS INCLUDE: LOGISTICS, STAFFING, HOW TO IMPROVE PROFITABILITY, FINANCES, 401 PLANS, ETC.; (2.) NAME OF OBA: JEWISH FAMILY & CHILDREN'S SERVICE INC.; INVESTMENT RELATED; ADDRESS: WALTHAM, MA; NATURE OF OBA: NON-PROFIT ORGANIZATION THAT PROVIDES HUMAN SERVICES FOR INDIVIDUALS AND FAMILIES GUIDED BY JEWISH TRADITIONS; TITLE: MEMBER; START DATE: 2015; APPROX. NUMBER HRS./MO: 4; APPROX. NUMBER OF HRS. DURING SECURITIES TRADING/MO: 1; DUTIES: ATTEND INVESTMENT AND FINANCE COMMITTEE MEETINGS; (3.) NAME OF OBA: THE JEWISH HOME FOR AGED FOUNDATION; INVESTMENT RELATED; ADDRESS: WORCESTER, MA; NATURE OF OBA: NON-PROFIT ORGANIZATION THAT RAISES, HOLDS & MANAGES FUNDS WITH WHICH TO MAKE GRANTS TO THE JEWISH HEALTHCARE CENTER, INC.; TITLE: DIRECTOR; STARTED: 20+ YEARS; APPROX. NUMBER HRS./MO: 1; NUMBER OF HRS. DURING SECURITIES TRADING/MO: 0.5; DUTIES: REVIEW INVESTMENT PORTFOLIO & RECOMMEND GRANTS AND FUNDING FOR THE JHC; (4.) NAME OF OBA: WORCESTER JEWISH COMMUNITY CENTER; INVESTMENT RELATED; ADDRESS: WORCESTER, MA; NATURE OF OBA: NON-PROFIT ORGANIZATION THAT PROVIDES GREATER WORCESTER WITH QUALITY EDUCATIONAL, HEALTH, WELLNESS, SOCIAL AND RECREATIONAL PROGRAMS; POSITION: MEMBER OF FINANCE COMMITTEE; START DATE: 2000; APPROX. NUMBER HRS./MO: 3; NUMBER OF HRS. DURING SECURITIES TRADING/MO: 0.5; DUTIES: REVIEW ALL FINANCIAL AFFAIRS OF THE WORCESTER JCC; (5.) NAME OF OBA: JEWISH FEDERATION OF CENTRAL MASSACHUSETTS INC.; INVESTMENT RELATED; ADDRESS: WORCESTER, MA; NATURE OF OBA: NON-PROFIT ORGANIZATION THAT SEEKS TO PRESERVE AND ENRICH JEWISH LIFE IN CENTRAL MASS AND THROUGHOUT THE WORLD; POSITION: CHAIR OF THE ENDOWMENT COMMITTEE; START DATE: 20+ YEARS; APPROX. NUMBER HRS./MO: 1; NUMBER OF HRS. DURING SECURITIES TRADING/MO: 0.5; DUTIES: REVIEW INVESTMENT PORTFOLIO & PERFORMANCE OF INVESTMENT MANAGERS & OTHER ISSUES THAT ARISE; (6.) NAME OF OBA: PEAKE BROOK, LLC; ADDRESS: WOODSTOCK, CT 06281; NATURE: A REAL ESTATE LLC; INVESTMENT RELATED: YES; RELATIONSHIP WITH OBA: PARTNER; DUTIES: DISCUSS FINANCIAL, REAL ESTATE UTILIZATION AND OTHER FINANCIAL MATTERS WITH THE MANAGERS OF THE LLC. INCLUDES CHECK SIGNING AUTHORITY; START DATE: 7/11/19; APPROX. NUMBER OF HOURS/MONTH: 4; NUMBER OF HRS. DURING SECURITIES TRADING/MO: 1;
CRS (Client Relationship Summary) - RIA
Click below to view Wayne Martin Ushman's 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®
NoneExperience
Current
September 11, 2003 - Present
ASSABET ADVISORS, LLC
Office #1: 1087 Main Street, Holden, MA 01520RIA
CRD#: 127795
Holden, 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".
AA
ASSABET ADVISORS, LLC
ASSABET ADVISORS, LLC
CRD#: 127795 / SEC#: 801-120592
RIA
Registered Investment Advisory firm - (3/25/2021 Approved)Massachusetts
Registered Investment Advisory firm - (4/19/2021 Terminated)Texas
Registered Investment Advisory firm - (4/19/2021 Terminated)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(9/11/2003)
Exams
Current Firm
AA
ASSABET ADVISORS, LLC
ASSABET ADVISORS, LLC
CRD#: 127795 / SEC#: 801-120592
RIA
Registered Investment Advisory firm - (3/25/2021 Approved)Massachusetts
Registered Investment Advisory firm - (4/19/2021 Terminated)Texas
Registered Investment Advisory firm - (4/19/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1087 Main Street, Holden, MA 01520
Mailing Address
P.o. Box 8, Holden, MA 01520
Phone number
(508) 351-9666
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 196 |
| AUM (Assets Under Management) | $ 158,251,676 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ASSABET ADVISORS, LLC
CRD#: 127795Holden, MA 01520TRUST BUT VERIFY
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