Wayne M. Ushman

ASSABET ADVISORS

Holden, MA 01520

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CRD#: 4686174

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wayne Martin Ushman'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

September 11, 2003 - Present

ASSABET ADVISORS, LLC

Office #1: 1087 Main Street, Holden, MA 01520

RIA

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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)

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

Current Firm

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)

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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

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

11 21 2025 ABA FORMS ADV PARTS 2A AND 2B FINAL (11/21/2025)

Regulatory assets under management

Total Number of Accounts	196
AUM (Assets Under Management)	$ 158,251,676

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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Wayne M. Ushman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wayne Martin Ushman's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASSABET ADVISORS, LLC

Primary Firm SEC Registration

ASSABET ADVISORS, LLC

State Registrations and Notice Filings

Exams

Current Firm

ASSABET ADVISORS, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASSABET ADVISORS, LLC

TRUST BUT VERIFY

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