Robert J. Wassel

TRINITY WEALTH MANAGEMENT LLC

Cincinnati, OH 45236

Some features on this profile are disabled

CRD#: 4728480

Professional summary

Robert James Wassel JR, who also goes by Robert J Wassel Jr, Robert J Wassel, is a registered financial advisor currently at TRINITY WEALTH MANAGEMENT LLC located in Cincinnati, Ohio.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Robert has worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Robert J Wassel Jr | Robert J Wassel

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 Robert James Wassel 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

January 4, 2010 - Present

TRINITY WEALTH MANAGEMENT LLC

Office #1: 8040 Hosbrook Road Suite 220, Cincinnati, OH 45236

RIA

CRD#: 152355

Cincinnati, OH

Past

January 11, 2005 - December 21, 2007

OJM GROUP, LLC

RIA

CRD#: 119850

CINCINNATI, OH

Past

January 12, 2004 - December 31, 2005

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

CINCINNATI, OH

Past

December 2, 2003 - December 31, 2005

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

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".

TRINITY WEALTH MANAGEMENT LLC

CRD#: 152355 / SEC#: 801-80014

RIA

Registered Investment Advisory firm - (7/8/2014 Approved)

Kentucky

Registered Investment Advisory firm - (12/6/2012 Terminated)

Ohio

Registered Investment Advisory firm - (8/11/2014 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

Ohio
(1/4/2010)

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: 7/13/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/1/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/20/2004

General Securities Principal Examination

Current Firm

TRINITY WEALTH MANAGEMENT LLC

CRD#: 152355 / SEC#: 801-80014

RIA

Registered Investment Advisory firm - (7/8/2014 Approved)

Kentucky

Registered Investment Advisory firm - (12/6/2012 Terminated)

Ohio

Registered Investment Advisory firm - (8/11/2014 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

8040 Hosbrook Road Suite 220, Cincinnati, OH 45236

Mailing Address

Phone number

(513) 794-2870

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART II SUPP - DEXTER (3/25/2025)

ADV PART II SUPP - KUHN (3/25/2025)

FLEMING (3/25/2025)

ADV PART 2 2015 06 30 (3/25/2025)

TWM CRS (3/25/2025)

ADV PART II SUPP - WASSEL (3/25/2025)

Regulatory assets under management

Total Number of Accounts	925
AUM (Assets Under Management)	$ 356,930,000

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.

Similar Advisors

Jamie Powell

CAPITAL ADVISORY SERVICES, LLC

IAR

West Chester, OH

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert J. Wassel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert James Wassel JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRINITY WEALTH MANAGEMENT LLC

OJM GROUP, LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

TRINITY WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/13/2004

Series 7

Date: 12/1/2003

Series 24

Date: 1/20/2004

Current Firm

TRINITY WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRINITY WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors