Gregory P. Poleon

OSAIC WEALTH

WILLIAMSVILLE, NY 14221

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CRD#: 3116276

Professional summary

Gregory Paul Poleon is a registered financial advisor currently at OSAIC WEALTH, INC. located in Williamsville, New York.

Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Gregory has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

***GREG POLEON POSITION: owner, none, wife manages NATURE: rental property INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2013 ADDRESS: 15 delham, buffalo NY 14215 DESCRIPTION: own, manage property, repairs, rent collections ***POLEON COMPREHENSIVE WEALTH MANAGEMENT LLC POSITION: owner NATURE: Poleon Comprehensive Wealth Management LLCAsset management company to run my financial practice and property management businesses. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 07/01/2022 ADDRESS: 6024 Main St, Williamsville NY 14221 DESCRIPTION: i will run payroll, benefits for employees out of this LLC ***6024 MAIN STREET WILLIAMSVILLE NY 14221 POSITION: owner NATURE: WNY Phamacy Specialsit LLCThis is my old consulting corporation. In 2021 I changed purpose to own property. 6024 Main st Williamsvile NT 14221 is an office building I purchased under this corporation. It will be used for my new office in 8/1/22 and also has rental space for other professionals. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2022 ADDRESS: 6024 Main St, Williamsville NY 14221 DESCRIPTION: 12 persons multii floor office building. I will use 5 offices and 1 conferance room for my office. Will rent out 6 other offices. ***NOTARY POSITION: supervisor NATURE: Notary for staff Donna Stuber and Kelly Brennan INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2022 ADDRESS: 6024 main st, Williamsville NY 14221 DESCRIPTION: notary ***LE3 INC POSITION: board member, advice NATURE: le3 inc a non for profit before and after education program i started for my daughter INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 4 START DATE: 11/01/2016 ADDRESS: 6024 Main St, williamsville NY 14221 DESCRIPTION: helped my daughter start a before and after school program for public and private schools. Also 4 day centers ***LE3 POSITION: board member, cfo NATURE: LE3 inc is a non for profit before and after education program and prek school that i helped my daughter start INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2015 ADDRESS: 6024 main st, williamsville dr NY 14221 DESCRIPTION: cares for children before and after school starts at the schools locations. includes all day camps for vacation, holiday, school days off ***BROKER POSITION: broker NATURE: sECURITIES aMERICA aDVISOR INC - INVESTMENT ADVISOR independent advisor representative - investment related - start date 4-2002 located at 25 california dr williamsville ny 14221 INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 8 START DATE: 04/01/2002 ADDRESS: 6024 main st, williamsville NY 14221 DESCRIPTION: stockbroker financial advisor ***855 ENGLEWOOD INC POSITION: owner NATURE: property owner INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 12/30/2022 ADDRESS: 855 englewood ave, tonawanda NY 14213 DESCRIPTION: commercial building rent to daycare company

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Paul Poleon's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Gregory Paul Poleon's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 6024 Main St, Williamsville, NY 14221

RIA

CRD#: 23131

WILLIAMSVILLE, NY

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 6024 Main St, Williamsville, NY 14221

RIA

CRD#: 23131

WILLIAMSVILLE, NY

Past

August 22, 2021 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

WILLIAMSVILLE, NY

Past

March 28, 2002 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

WILLIAMSVILLE, NY

Past

November 2, 1998 - April 9, 2002

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(6/14/2024)

Florida
(6/14/2024)

IAR

Florida
(1/8/2025)

Georgia
(6/14/2024)

Illinois
(6/14/2024)

Massachusetts
(6/14/2024)

Michigan
(6/14/2024)

Mississippi
(6/14/2024)

Missouri
(6/14/2024)

Nevada
(10/17/2025)

New Jersey
(6/14/2024)

New York
(6/14/2024)

IAR

New York
(6/14/2024)

North Carolina
(6/14/2024)

Pennsylvania
(6/14/2024)

South Carolina
(6/14/2024)

Tennessee
(6/14/2024)

Texas
(7/1/2024)

IAR

Texas
(7/2/2024)

Virginia
(6/14/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/19/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/9/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/19/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Gregory P. Poleon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Paul Poleon's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Gregory Paul Poleon's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/19/1998

Series 63

Date: 11/9/1998

SIE

Date: 10/1/2018

Series 7

Date: 10/19/1998

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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