Gregory M. Gromek

PEAK WEALTH SOLUTIONS

Pepper Pike, OH 44124

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CRD#: 4348887

Professional summary

Gregory Michael Gromek is a registered financial advisor currently at PEAK WEALTH SOLUTIONS located in Pepper Pike, Ohio and OSAIC WEALTH, INC. located in Pepper Pike, Ohio.

Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Gregory has worked at 7 firms and has passed the Series 66, 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.

1.Other Business Name: Peak Wealth Solutions 2.Investment Related? Yes 3.Address of Other Business: 30195 Chagrin Blvd, Ste 360, Pepper Pike, Ohio 44124 4.Nature of Other Business: Registered Investment Advisor 5.Position/Title/Relationship with Other Business: 50% Owner 6.Start Date: 03/2021 7.Hours Per Month: 160 8.Market Hours Per Month: 160 9.Duties Related to Other Business: Investment Advisory 1.Other Business Name: Osaic Wealth, Inc. 2.Investment Related? Yes 3.Address of Other Business: 30195 Chagrin Blvd, Ste 360, Pepper Pike, Ohio 44124 4.Nature of Other Business: Broker-Dealer 5.Position/Title/Relationship with Other Business: Registered Representative 6.Start Date: 10/2024 7.Hours Per Month: 16 8.Market Hours Per Month: 16 9.Duties Related to Other Business:

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Michael Gromek'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

August 12, 2016 - Present

PEAK WEALTH SOLUTIONS

Office #1: 30195 Chagrin Blvd. Suite 360, Pepper Pike, OH 44124

RIA

CRD#: 127391

Pepper Pike, OH

Current

October 11, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 30195 Chagrin Blvd Ste 360, Pepper Pike, OH 44122

RIA

CRD#: 23131

PEPPER PIKE, OH

Past

July 27, 2016 - October 11, 2024

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

PEPPER PIKE, OH

Past

November 19, 2013 - July 29, 2016

PRIVATE ADVISOR GROUP, LLC

RIA

CRD#: 155216

PEPPER PIKE, OH

Past

November 18, 2013 - August 11, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

PEPPER PIKE, OH

Past

November 18, 2013 - August 11, 2016

LPL FINANCIAL LLC

CRD#: 6413

PEPPER PIKE, OH

Past

September 17, 2002 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 3, 2001 - November 19, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

PEPPER PIKE, OH

Past

March 20, 2001 - November 19, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

PEPPER PIKE, OH

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".

PEAK WEALTH SOLUTIONS

CRD#: 127391 / SEC#: 801-71071

RIA

Registered Investment Advisory firm - (2/25/2010 Approved)

Ohio

Registered Investment Advisory firm - (3/29/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Alabama
(10/11/2024)

Arizona
(10/11/2024)

Arkansas
(10/11/2024)

California
(10/11/2024)

Colorado
(10/11/2024)

Florida
(10/11/2024)

Illinois
(10/11/2024)

Indiana
(10/11/2024)

Kentucky
(10/11/2024)

Louisiana
(10/11/2024)

Michigan
(10/11/2024)

Nevada
(10/11/2024)

New Hampshire
(10/11/2024)

New Jersey
(10/11/2024)

New York
(10/11/2024)

North Carolina
(10/11/2024)

IAR

Ohio
(8/12/2016)

Ohio
(10/11/2024)

Oregon
(10/11/2024)

Pennsylvania
(10/11/2024)

South Carolina
(10/11/2024)

Tennessee
(10/11/2024)

Texas
(10/11/2024)

Vermont
(10/11/2024)

Washington
(10/11/2024)

Wisconsin
(10/11/2024)

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 66

Date: 2/16/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/6/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PEAK WEALTH SOLUTIONS

CRD#: 127391 / SEC#: 801-71071

RIA

Registered Investment Advisory firm - (2/25/2010 Approved)

Ohio

Registered Investment Advisory firm - (3/29/2014 Terminated)

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Contact information

Main Address

30195 Chagrin Blvd. Suite 360, Pepper Pike, OH 44124

Mailing Address

Phone number

(216) 370-7887

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PEAK WEALTH SOLUTIONS FIRM BROCHURE DTD 3/15/2025 (3/21/2025)

Regulatory assets under management

Total Number of Accounts	2,040
AUM (Assets Under Management)	$ 789,182,723

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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Advisor Monitoring

Firm Stability Insights

Gregory M. Gromek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Michael Gromek's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

PRIVATE ADVISOR GROUP, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

PEAK WEALTH SOLUTIONS

State Registrations and Notice Filings

Exams

Series 66

Date: 2/16/2004

SIE

Date: 10/1/2018

Series 7

Date: 3/6/2001

FINRA

Current Firm

PEAK WEALTH SOLUTIONS

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PEAK WEALTH SOLUTIONS

TRUST BUT VERIFY

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