DFX Intelligence

Data Factory

RIA / WealthAdvisor28 years in industry

GREGORY JOHN WOZNIAK

Advisor at UNIVERSAL FINANCIAL ADVISORS, LLC

ST. LOUIS, MO | Lake Winnebago, MO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:751b1650-663b-cb55-d610-937b8c540f5d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Sep 26, 2003 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: UNIVERSAL FINANCIAL ADVISORS, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 2, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Dec 2, 1997
First registration: Sep 26, 2003
Dual registered: no
Other names: GREG WOZNIAK|GREGORY JOHN WOZNIAK|GREGORY WOZNIAK
IAPD individual key: 2914251

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
UNIVERSAL FINANCIAL ADVISORS, LLC	Independent wealth	Aug 16, 2022	n/a	yes	ST. LOUIS, MO\|Lake Winnebago, MO	Current employment
PFG ADVISORS	Independent wealth	Jan 3, 2022	Aug 22, 2022	no	Lake Winnebago, MO	Previous registration
BEAM WEALTH ADVISORS, INC.	Independent wealth	Mar 9, 2015	Dec 15, 2021	no	LEE'S SUMMIT, MO\|COVINGTON, LA\|Lake Winnebago, MO	Previous registration
UNIVERSAL FINANCIAL PLANNING CONSULTANTS, INC.	Former SEC adviser	Jan 28, 2010	Dec 31, 2015	no	LEE'S SUMMIT, MO	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 6, 2009	Jan 15, 2010	no	LEES SUMMIT, MO\|SAN DIEGO, CA\|LEES SUMMIT, MO	Previous registration
MUTUAL SERVICE CORPORATION	n/a	Mar 26, 2009	Oct 7, 2009	no	LEE'S SUMMIT, MO\|ST. LOUIS, MO\|LEE'S SUMMIT, MO	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 31, 2007	Feb 13, 2009	no	LEAWOOD, KS	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Apr 6, 2006	Aug 1, 2007	no	LEE'S SUMMIT, MO\|SPRINGFIELD, MA\|LEE'S SUMMIT, MO\|LEE'S SUMMIT, MO	Previous registration
ROBERT W. BAIRD & CO. INCORPORATED	Mixed wealth	Sep 26, 2003	Jul 7, 2005	no	KASAS CITY, MO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PFG ADVISORS	UNIVERSAL FINANCIAL ADVISORS, LLC	Aug 22, 2022	Aug 16, 2022	-6	Firm change	RIA to new firm
BEAM WEALTH ADVISORS, INC.	PFG ADVISORS	Dec 15, 2021	Jan 3, 2022	19	Firm change	RIA to RIA
UNIVERSAL FINANCIAL PLANNING CONSULTANTS, INC.	BEAM WEALTH ADVISORS, INC.	Dec 31, 2015	Mar 9, 2015	-297	Firm change after gap	Other
LPL FINANCIAL LLC	UNIVERSAL FINANCIAL PLANNING CONSULTANTS, INC.	Jan 15, 2010	Jan 28, 2010	13	Firm change	Other
MUTUAL SERVICE CORPORATION	LPL FINANCIAL LLC	Oct 7, 2009	Oct 6, 2009	-1	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MUTUAL SERVICE CORPORATION	Feb 13, 2009	Mar 26, 2009	41	Firm change	Other
MML INVESTORS SERVICES, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Aug 1, 2007	Aug 31, 2007	30	Firm change	Other
ROBERT W. BAIRD & CO. INCORPORATED	MML INVESTORS SERVICES, LLC	Jul 7, 2005	Apr 6, 2006	273	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
173344:318392:MO:2022-08-10	Aug 22, 2022	Aug 16, 2022	LAKE WINNEBAGO, MO	Firm change
109867:173344:MO:2021-12-15	Dec 15, 2021	Jan 3, 2022	LAKE WINNEBAGO, MO	Firm change
116386:109867:MO:2015-12-31	Dec 31, 2015	Mar 9, 2015	LEES SUMMIT, MO	Firm change after gap

Relationships

Registered with (9)

→ UNIVERSAL FINANCIAL ADVISORS, LLCRegistered adviserregistration: current employment
Aug 16, 2022 to presentfactForm ADV
→ PFG ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2022 to Aug 22, 2022factForm ADV
→ BEAM WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Mar 9, 2015 to Dec 15, 2021factForm ADV
→ UNIVERSAL FINANCIAL PLANNING CONSULTANTS, INC.Registered adviserregistration: previous registration
Jan 28, 2010 to Dec 31, 2015factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 6, 2009 to Jan 15, 2010factForm ADV
→ MUTUAL SERVICE CORPORATIONRegistered adviserregistration: previous registration
Mar 26, 2009 to Oct 7, 2009factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 31, 2007 to Feb 13, 2009factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Apr 6, 2006 to Aug 1, 2007factForm ADV
→ ROBERT W. BAIRD & CO. INCORPORATEDRegistered adviserregistration: previous registration
Sep 26, 2003 to Jul 7, 2005factForm ADV

Dated events

Occurred
Aug 22, 2022
Advisor changed firm
Gregory John Wozniak left Pfg Advisors for Universal Financial Advisors, Llc (registered 2022-08-16)
Form ADVobserved 6 days ago