Michael Wassmann has been Chief Compliance Officer of HBK Sorce Advisory since August 2011, is a control person of the firm and directly owns under 5% of it.
HBK Sorce Advisory LLC is an Erie, PA firm with $7.66B under management, 7,824 clients and 73 advisers across 13 offices, as of its February 2026 filing.
Michael Wassmann’s longest registration is the current one, 15 years at HBK Sorce Advisory since 2011.
- Park Shore Partners LLCAlso current– present · 10 yearsErie, PA · Adviser representative · Firm CRD 145265
Investment adviser representative registrations
Michael Wassmann is registered as an investment adviser representative in 2 states. The first approvals date from September 2011; the most recent is Florida, in January 2016.
- FloridaSince 4 January 2016
- PennsylvaniaSince 22 September 2011
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 25 September 2025 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 6 December 2011 |
| Series 66 | Uniform Combined State Law Examination | 20 September 2011 |
| Series 24 | General Securities Principal Examination | 18 May 2009 |
| Series 7 | General Securities Representative Examination | 18 February 2009 |
- Name
- Municipal Securities Representative Examination
- Name
- Compliance Officer Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Full name
- Michael Gustave Wassmann
- CRD
- 5621134
- Firm
- HBK Sorce Advisory · CRD 112139
- Role
- Chief Compliance Officer
- Office
- 2725 Colonial Ave, Erie, PA 16506
- Registration
- Investment adviser and broker registrations
- In the industry since
- March 2009
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Michael Wassmann work?
Michael Wassmann has been Chief Compliance Officer of HBK Sorce Advisory LLC since August 2011, and is a control person of the firm.
Is Michael Wassmann a financial advisor?
Yes. Michael Wassmann has a current investment-adviser registration in Florida and Pennsylvania, through HBK Sorce Advisory since September 2011.
How many years of experience does Michael Wassmann have?
Michael Wassmann has 17 years in the financial industry, since March 2009, across 2 adviser firms.
What exams has Michael Wassmann passed?
Michael Wassmann has passed 7 licensing exams: the Series 7, Series 24, Series 66, Series 53, Series 14, Series 99TO and Series 52TO. The earliest, the Series 7, was passed in February 2009. FINRA credited Michael Wassmann with the SIE, which began in October 2018.
Where is Michael Wassmann based?
Michael Wassmann’s registered office is in Erie, PA.
Is Michael Wassmann registered with FINRA?
Yes. Michael Wassmann has a current broker registration, under CRD 5621134.
Source: FINRA BrokerCheck
How can I verify Michael Wassmann’s record?
Search CRD 5621134 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Michael Wassmann’s full registration record.