Stephen Frederick Poll

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2019 → 07/2020
  Investacorp
  Miami, FL
• 01/2019 → Present
  Clay Financial
  Perrysburg, OH
• 08/2015 → 12/2018
  Ohio University
  Athens, OH
• 07/2020 → 06/2024
  Securities America, Inc.
  Bonita Springs, FL
• 07/2020 → 06/2024
  Securities America Advisors, Inc.
  Bonita Springs, FL
• 06/2024 → Present
  Osaic Wealth, Inc.
  Bonita Springs, FL
• 06/2024 → Present
  Osaic Wealth, Inc.
  Bonita Springs, FL

Previous Registrations

• 2020-07-17 → 2024-06-14
  Securities America Advisors, Inc.
  Bonita Springs, FL
  Columbus, OH
• 2019-09-09 → 2020-07-17
  Investacorp Advisory Services Inc
  Columbus, OH

Other Businesses

1. DBA - Clay Financial 2. INSURANCE SPECIALISTS POSITION: sales NATURE: Home and auto insurance. Helping with sales for 5 hours a week INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 01/01/2020 ADDRESS: 12870 Trade Way Four. Suite 108, Bonita Springs FL 34135, United States DESCRIPTION: Working as an additional sales member when someone in the office is out or they need some extra help. I will be in the office working on securities related work for the vest majority of the time. 3. KING AGENCY POSITION: referral NATURE: Refer business to them for percentage INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/24/2021 ADDRESS: 7723 Airport Highway, Holland OH 43528, United States DESCRIPTION: If a client or individual needs health or accident insurance I will refer them to the king agency. 4. WIND WATCH INSPECTIONS POSITION: Owner NATURE: LLC - Home Inspections INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 09/05/2024 ADDRESS: 1320 Rail Head Blvd, STE 5, Naples FL 34110, United States DESCRIPTION: Conduct home inspections 5. INSPECTSNAP INC POSITION: Owner NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2025 ADDRESS: 2651 Aft Ave, Naples FL 34109, United States DESCRIPTION: Mobile app for home inspectors

Exams

• S66 Uniform Combined State Law Examination
  2019-06-09

Designations

• Certified Financial Planner

Other Names

• Stephen Frederick Poll
• Stephen F Poll