Shannon Smith
Shannon Smith is a registered investment advisor at Osaic Wealth, INC., based in Florence, AL, with 23 years of industry experience. Shannon operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Education Planning, Estate Planning, Investment Management, and 1 more. Their firm serves 574,829 clients with $200B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers investment management through several platforms, including Advisor Managed Portfolios, Unified Managed Accounts, and Signator Managed Account Platform. Fees are negotiable and based on a percentage of the assets in your account. The fees cover advisory services, custodial services, and in some cases, transaction costs. Mutual funds and ETFs within these accounts have their own internal fees. Some programs have wrap accounts where all costs are bundled into one fee.
Location
1212 Helton Drive Suite A, Florence, AL, 35630
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Shannon is an independent contractor for Legacy Capital Advisors, a registered investment advisor, dedicating nearly full-time hours to this role. She also owns rental properties and works as an insurance broker with Concourse Financial Group, selling life, annuity, LTC, and disability insurance, spending about 10-20% of her time on this.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Previous Registrations
Sagepoint Financial, INC.
Sagepoint Financial, INC.Broker
Securian Financial Services, INC.Broker
Securian Financial Services, INC.
MML Investors Services, LLC
MML Investors Services, LLCBroker
Msi Financial Services, INC.
Msi Financial Services, INC.Broker
Metropolitan Life Insurance CompanyBroker
Aura Financial Services, INC.Broker
State Registrations5 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.