MW
Michael G. Wassmann
HBKS WEALTH ADVISORS
ERIE, PA 16506
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CRD#: 5621134
MW
Professional summary
Michael Gustave Wassmann is a registered financial advisor currently at HBKS WEALTH ADVISORS located in Erie, Pennsylvania and PARK SHORE PARTNERS LLC located in Erie, Pennsylvania.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Michael has worked at 5 firms and has passed the Series 66, Series 52TO, Series 99TO, SIE, Series 7, Series 14, Series 53 and Series 24 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.
1) HBK SORCE ADVISORY DBA HBKS WEALTH ADVISORS, 9/23/2011; CHIEF COMPLIANCE OFFICER, AT REGISTERED LOCATION; WORK DONE DURING SECURITY TRADING HOURS 2) WASSMANN CONSULTING. NOT INVESTMENT RELATED. 404 Cherokee Drive Erie, PA 16505. LEGAL CONSULTING. ATTORNEY. 12/21/2012. 0 HRS DURING SECURITIES TRADING HOURS; NON-SECURITIES RELATED CONSULTING BUSINESS SETUPS AND CONTRACTS. USING LEGAL EXPERTISE TO AIDE OTHERS IN CONTRACT CONSTRUCTION AND BUSINESS SET UP. 3) HBK SORCE INSURANCE LLC, 6603 SUMMIT DR, CANFIELD, OH 44406; AGENT.05/2013. PRESIDENT OF THE COMPANY; OVERSEE THE INSURANCE DEPARTMENT OF HBKS. 4) PARK SHORE PARTNERS LLC, AT REGISTERED LOCATION; AFFILIATED RIA OF WHICH HE SERVES AS CHIEF COMPLIANCE OFFICER. 05/2011. 5 HRS/MO. 5)HBK SORCE BROKERAGE LLC, WORKING OUT OF 6603 SUMMIT DR, CANFIELD, OH 44406; CHIEF COMPLIANCE OFFICER. 05/2011, 5 HRS./MO. 6) UP STRATEGIC WEALTH INVESTMENTS ADVISORS LLC DBA STEEL TOWER INVESTMENTS; INVESTMENT RELATED; AT REGISTERED LOCATION/THREE GATEWAY CENTER SUITE 2500 PITTSBURGH, PA 15222; EMPLOYEE OF HBKS CONDUCTING TRADING/ASSET ALLOCATION FOR AFFILIATED RIA VIA CONSULTING/SUB-ADVISER AGREEMENT; 8/2017; 10 HOURS/MONTH; 10 HOURS/MONTH DURING SECURITIES HOURS; AS AN EMPLOYEE OF HBKS WEALTH ADVISORS, PROVIDE UPSWIA/STI ASSET MANAGEMENT SERVICES PURSUANT TO CONSULTING AND SUB ADVISER AGREEMENTS BETWEEN HBKS AND UPSWIA/STI. THOSE DUTIES INCLUDE PROVIDING TRADING AND ASSET ALLOCATION SERVICES FOR STI CLIENT ACCOUNTS VIA INSTRUCTIONS TO SCHWAB. 7) PINION WEALTH MANAGEMENT DBA PINION WEALTH; INVESTMENT RELATED; 1605 NORTH WATERFRONT PARKWAY SUITE 200 WICHITA, KS 67206; RIA; AUTHORIZED PERSON; 03/2018; 0 HOURS/MONTH; 0 HOURS/MONTH DURING SECURITIES HOURS; PROVIDE BACK OFFICE SERVICES TO PINION WEALTH. 8) Elite Life Management, LLC. Investment Related. At Registered Location. CCO. 8/1/2022. 5 Hrs/Mo; All During Trading Hours. Act as CCO for Elite Life. Responsible for Overall Compliance with Federal and State Securities Laws and Regulations.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Gustave Wassmann'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 22, 2011 - Present
HBKS WEALTH ADVISORS
Office #1: 2725 Colonial Ave, Erie, PA 16506RIA
CRD#: 112139
ERIE, PA
Current
January 4, 2016 - Present
PARK SHORE PARTNERS LLC
Office #1: 2725 Colonial Ave, Erie, PA 16506RIA
CRD#: 145265
ERIE, PA
Current
May 24, 2011 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 8010 Summerlin Lake Drive Suite 200, Ft. Myers, FL 33907Office #2: 3838 Tamiami Trail North Suite 201, Naples, FL 34103Office #3: 200 Pinewood Lane Suite 204, Warrendale, PA 15086Office #4: 1000 Se Monterey Commons Blvd Suite 101, Stuart, FL 34996Office #5: 2725 Colonial Ave, Erie, PA 16506Office #6: 6603 Summit Dr., Canfield, OH 44406BD
CRD#: 35747
Ft. Myers, FL
Current
September 23, 2011 - Present
HBK SORCE BROKERAGE LLC
Office #1: 2725 Colonial Avenue, Erie, PA 16506BD
CRD#: 107690
Erie, PA
Past
February 19, 2009 - April 26, 2011
INVESCOR WHOLESALE BD, INC.
BD
CRD#: 139828
BLOOMFIELD HILLS, MI
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".
HW
HBKS WEALTH ADVISORS
HBK ADVISORY SERVICES LLC | PRESQUE ISLE CAPITAL MANAGEMENT | LEVEL 3 | HBKS WEALTH ADVISORS | HBK SORCE FINANCIAL LLC | HBK SORCE ADVISORY LLC
CRD#: 112139 / SEC#: 801-60424
RIA
Registered Investment Advisory firm - (7/19/2001 Approved)Ohio
Registered Investment Advisory firm - (11/28/2000 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/29/2001 Terminated)Wyoming
Registered Investment Advisory firm - (11/9/2017 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Florida(1/4/2016)
RR
Ohio(9/26/2011)
RR
Pennsylvania(9/22/2011)
IAR
Pennsylvania(9/22/2011)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HW
HBKS WEALTH ADVISORS
HBK ADVISORY SERVICES LLC | PRESQUE ISLE CAPITAL MANAGEMENT | LEVEL 3 | HBKS WEALTH ADVISORS | HBK SORCE FINANCIAL LLC | HBK SORCE ADVISORY LLC
CRD#: 112139 / SEC#: 801-60424
RIA
Registered Investment Advisory firm - (7/19/2001 Approved)Ohio
Registered Investment Advisory firm - (11/28/2000 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/29/2001 Terminated)Wyoming
Registered Investment Advisory firm - (11/9/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2725 Colonial Ave, Erie, PA 16506
Mailing Address
Phone number
(814) 836-5776
Established
Firm type
Fiscal year end
# of Employees
109
SEC notice filing (30 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 21,190 |
| AUM (Assets Under Management) | $ 7,661,939,874 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 07/28/2023 |
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.
