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Alan Schmidt

Osaic Advisory Services, LLC
20 Years of Experience
Surprise, AZ
1 DisclosureBrokerSells Insurance
View SEC Summary
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Alan Schmidt is a registered investment advisor at Osaic Advisory Services, LLC, based in Surprise, AZ, with 20 years of industry experience. Alan is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Corporate Executives, and 7 more. Their firm serves 29,898 clients with $15B in assets under management.

Osaic Advisory Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
350 advisors
Number of Clients
29,898 clients
Average Client Portfolio
$518K average
Assets Under Management
$15.5B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Fees are negotiated between the advisor and the client. The maximum annual fee allowed is 2.50%. Fees can be billed as flat, linear, or tiered rates.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Surprise, AZ

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History

Regulatory History (1)
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Criminal
January 1992
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other 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
May 2025 - Present · 1 yr 5 mos
Osaic Wealth, INC.
January 2024 - Present · 2 yrs 9 mos
Osaic Wealth, INC.Broker
January 2024 - Present · 2 yrs 9 mos
Previous Registrations
Woodbury Financial Services, INC.Broker
October 2022 - January 2024 · 1 yr 3 mos
Woodbury Financial Services, INC.
October 2022 - January 2024 · 1 yr 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 2019 - October 2022 · 3 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 2019 - October 2022 · 3 yrs 2 mos
U.S. Bancorp Investments, INC.
May 2011 - September 2019 · 8 yrs 4 mos
U.S. Bancorp Investments, INC.Broker
April 2010 - September 2019 · 9 yrs 5 mos
Bbva Compass Investment Solutions, INCBroker
February 2008 - December 2009 · 1 yr 10 mos
Next Financial Group, INC.
April 2006 - March 2008 · 1 yr 11 mos
Next Financial Group, INC.Broker
April 2006 - March 2008 · 1 yr 11 mos
Cri Securities, LLCBroker
March 2006 - April 2006 · 1 mo
Securian Financial Services, INC.Broker
March 2006 - April 2006 · 1 mo
State Registrations11 states
ARAZCACOFLKYMDNHOKORTX
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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