Alan Schmidt
Alan Schmidt is a registered investment advisor at Osaic Advisory Services, LLC, based in Surprise, AZ, with 19 years of industry experience. Alan operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Investment Management, and 1 more. Their firm serves 28,410 clients with $12B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Advisors offers investment management through several programs:
- Ally Account: Fees are negotiable, with a maximum annual fee of 2.50%. Transaction charges apply.
- Counsel Account: Fees are negotiable, with a maximum annual fee of 2.50%. This is a wrap account, so the fee covers both advice and transactions.
- Partner Program: Access to third-party managers with varying fees. Osaic either receives a portion of the fee or charges a separate consulting fee.
- Plan Participant Retirement Program: Maximum 3% annual fee, either fixed or tiered, based on assets in your retirement plan account.
Location
Surprise, AZ
Get directionsHistory
Regulatory History (1)
Criminal
January 1992Other Business ActivitiesSells Insurance
Alan works part-time in remodeling sales, primarily window and door replacement, dedicating about a third of his time. He also owns Alan Schmidt Life Insurance, spending a few hours per week meeting with clients and procuring insurance policies, and works for Uber and Burnett Home Improvement.
Employment History
Current Registrations
Osaic Advisory Services, LLC
Osaic Wealth, INC.
Osaic Wealth, INC.Broker
Previous Registrations
Woodbury Financial Services, INC.Broker
Woodbury Financial Services, INC.
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
U.S. Bancorp Investments, INC.
U.S. Bancorp Investments, INC.Broker
Bbva Compass Investment Solutions, INCBroker
Next Financial Group, INC.
Next Financial Group, INC.Broker
Cri Securities, LLCBroker
Securian Financial Services, INC.Broker
State Registrations11 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.