Gregory Michael Wassey

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
GA	RA	APPROVED	2015-11-24

GA RA
APPROVED

Since 2015-11-24

Branch Locations

Alpharetta, GA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl	Atlanta	GA	11/2015	Present

11/2015 → Present

Lpl

Atlanta, GA

Previous Registrations

2006-04-12 → 2015-11-24

Wells Fargo Clearing Services, Llc

Woodbury, NY

Atlanta, GA

Other Businesses

1. 11/20/15-Wassey Wealth Management/DBA for LPL Business (entity for LPL business)/1. no 2. no 3. no 4. no/90%/1 Northlake Circle, Peachtree City, GA 30269

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-07-13
S63	Uniform Securities Agent State Law Examination	2000-07-24

S65 Uniform Investment Adviser Law Examination

2001-07-13
S63 Uniform Securities Agent State Law Examination

2000-07-24

Other Names

Greg Wassey
Gregory Wassey

View on SEC IAPD