Brett David Shofner

Employer firm

Osaic Advisory Services, LLC CRD 171070

$15.5B regulatory AUM 170 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

• 12/2002 → 10/2024
  American Portfolios Financial Services, Inc
  Lake Worth, FL
• 10/2024 → Present
  Osaic Wealth, Inc.
  Scottsdale, AZ
• 10/2024 → Present
  Osaic Advisory Services
  Atlanta, GA

Previous Registrations

• 2010-02-05 → 2024-10-11
  American Portfolios Advisors, Inc
  Holbrook, NY
  Delray Beach, FL
  Delray Beach, FL

Other Businesses

1. WORK PLAN RETIRE. ENTITY TO PAY BUSINESS EXPENSES ONLY. NOT SECURITIES RELATED. START DATE 2/20/2015. 100% OWNERSHIP. 1-2 HOURS DEVOTED PER MONTH, ZERO HOURS DURING MARKET HOURS. 2. Seabreeze Wealth Management - help 401k participants with financial planning, investment related, start date = 02/2021, 4 hours/mo., 4 hrs./mo./mkt. hrs. 3. HERO7 POSITION: Secretary NATURE: C Corporation. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 09/25/2023 ADDRESS: 1144 Anchor Point, Delray Beach FL 33444, United States DESCRIPTION: I contribute ideas and design guidance for the software company.

Exams

• S66 Uniform Combined State Law Examination
  2009-09-23
• S63 Uniform Securities Agent State Law Examination
  1996-04-10

Other Names

• Brett David Shofner