Gregory John Wozniak

Employer firm

Universal Financial Advisors, LLC CRD 318392

$277M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Selection of other advisers

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2015 → 12/2021
  Beam Asset Management, Llc
  Lake Winnebago, MO
• 06/2015 → 06/2023
  Securities America, Inc.
  Lake Winnebago, MO
• 12/2021 → 08/2022
  Pfg Advisors, Llc
  Lake Winnebago, MO
• 08/2022 → Present
  Universal Financial Advisors, Llc
  Lake Winnebago, MO
• 03/2009 → Present
  True Compass Financial, Llc
  Lake Winnebago, MO

Previous Registrations

• 2022-01-03 → 2022-08-22
  Pfg Advisors
  Lake Winnebago, MO
• 2015-03-09 → 2021-12-15
  Beam Wealth Advisors, Inc.
  Lee'S Summit, MO
  Covington, LA
  Lake Winnebago, MO
• 2010-01-28 → 2015-12-31
  Universal Financial Planning Consultants, Inc.
  Lee'S Summit, MO
• 2009-10-06 → 2010-01-15
  Lpl Financial Llc
  Lees Summit, MO
  San Diego, CA
  Lees Summit, MO
• 2009-03-26 → 2009-10-07
  Mutual Service Corporation
  Lee'S Summit, MO
  St. Louis, MO
  Lee'S Summit, MO
• 2007-08-31 → 2009-02-13
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Leawood, KS
• 2006-04-06 → 2007-08-01
  Mml Investors Services, Llc
  Lee'S Summit, MO
  Springfield, MA
  Lee'S Summit, MO
  Lee'S Summit, MO
• 2003-09-26 → 2005-07-07
  Robert W. Baird & Co. Incorporated
  Kasas City, MO

Other Businesses

***LIONS CLUB OF LAKE WINNEBAGO FOUNDATION POSITION: President. NATURE: non paid - A 501(c)(3) Nonprofit Organization,Charitable Organization. INVESTMENT RELATED: No. NUMBER OF HOURS: 2. SECURITIES TRADING HOURS: 0. START DATE: 06/01/2012. ADDRESS: Lake Winnebago, MO. DESCRIPTION: President - lead annual meeting of the board of directors, and help decide which organizations in need we will support financially for the coming year. ***TRUE COMPASS FINANCIAL, LLC POSITION: OWNER/SALES. NATURE: Insurance sales. INVESTMENT RELATED: Yes. NUMBER OF HOURS: 4. SECURITIES TRADING HOURS: 4. START DATE: 03/2009. ADDRESS: Lake Winnebago, MO. DESCRIPTION: Insurance sales ***LAKE WINNEBAGO HOA POSITION: board member NATURE: board member of neighborhood HOA INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 03/08/2022 ADDRESS: 12 Winnebago Dr, Lake Winnebago MO 64034, United States DESCRIPTION: monthly committee meeting and monthly board meeting ***LAKE WINNEBAGO LIONS CLUB POSITION: treasurer NATURE: volunteer for Lake Winnebago Lions Club INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2018 ADDRESS: 289 N Winnebago Dr, Lake Winnebago MO 64034, United States DESCRIPTION: board member of the club/treasurer.volunteer at fundraiser and deposit donations received in club bank account.

Exams

• S66 Uniform Combined State Law Examination
  2003-09-24
• S63 Uniform Securities Agent State Law Examination
  1997-12-02

Other Names

• Greg Wozniak
• Gregory John Wozniak
• Gregory Wozniak