Michael Gustave Wassmann

Current Employers

Employment History

• 05/2011 → Present
  Hbk Sorce Financial
  Erie, PA
• 05/2011 → Present
  Purshe Kaplan Sterling Investments
  Albany, NY
• 09/2011 → Present
  Hbk Sorce Advisory Llc
  Erie, PA

Other Businesses

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, AT REGISTERED LOCATION; CHIEF COMPLIANCE OFFICER. 05/2011, 5 HRS./MO. 6) UP STRATEGIC WEALTH INVESTMENTS ADVISORS LLC DBA STEEL TOWER INVESTMENTS; INVESTMENT RELATED; AT REGISTERED LOCATION; 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) 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.

Exams

• S66 Uniform Combined State Law Examination
  2011-09-20