Aaron Lee Smith

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

• 04/2012 → 09/2018
  Scottrade, Inc.
  Indianapolis, IN
• 02/2018 → 12/2022
  Td Ameritrade, Inc.
  Indianapolis, IN
• 02/2018 → 12/2022
  Td Ameritrade Investment Management, Llc
  Omaha, NE
• 12/2022 → 03/2024
  Charles Schwab And Co., Inc.
  Indianapolis, IN
• 03/2024 → 02/2025
  The Prudential Insurance Company Of America
  Indianapolis, IN
• 03/2024 → 11/2024
  Pruco Securities Llc
  Indianapolis, IN
• 11/2024 → 02/2025
  Lpl Enterprise, Llc
  Fishers, IN
• 02/2025 → Present
  Osaic Wealth, Inc.
  Carmel, IN

Previous Registrations

• 2024-11-14 → 2025-02-20
  Lpl Enterprise, Llc
  Swansea, IL
  Indianapolis, IN
• 2024-03-05 → 2024-11-14
  Pruco Securities, Llc.
  Swansea, IL
  Indianapolis, IN
  Fishers, IN
• 2022-01-26 → 2024-01-09
  Charles Schwab & Co., Inc.
  Carmel, IN
  Indianapolis, IN
• 2018-02-26 → 2023-09-07
  Td Ameritrade Investment Management, Llc
  Omaha, NE
  Indianapolis, IN
  Indianapolis, IN
  Carmel, IN
• 2018-02-27 → 2022-10-14
  Td Ameritrade, Inc.
  Indianapolis, IN
  Carmel, IN
• 2017-03-20 → 2018-02-26
  Scottrade Investment Management
  Saint Louis, MO

Other Businesses

1. MARKET SHARE, INC. POSITION: Financial Support Associate NATURE: S Corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 02/18/2025 ADDRESS: 11611 N Meridian Street, Carmel IN 46032, United States DESCRIPTION: Support advisors under the OSJ 2. MARKET SHARE INC - FIXED INSURANCE POSITION: Financial Support Associate NATURE: Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 02/18/2025 ADDRESS: 11611 N Meridian Street, Carmel IN 46032, United States DESCRIPTION: Insurance Agent 3. MSF ADVISORS POSITION: Financial Support Associate NATURE: DBA for Securities and Insurance Business INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 02/18/2025 ADDRESS: 11611 N Meridian Street, Carmel IN 46032, United States DESCRIPTION: Assist advisor with client support

Exams

• S66 Uniform Combined State Law Examination
  2017-03-20
• S63 Uniform Securities Agent State Law Examination
  2001-03-01

Other Names

• Aaron L. Smith