Alan Joel Schmidt

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

• 03/2010 → 08/2019
  U.S. Bancorp Investments, Inc.
  San Diego, CA
• 08/2019 → 10/2022
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Diego, CA
• 09/2019 → 10/2022
  Bank Of America, N.A.
  San Diego, CA
• 10/2022 → 01/2024
  Woodbury Financial Services Inc
  Tulsa, OK
• 01/2024 → Present
  Osaic Wealth, Inc.
  Tulsa, OK
• 04/2025 → Present
  Osaic Advisory Services, Llc
  Surprise, AZ

Previous Registrations

• 2022-10-20 → 2024-01-19
  Woodbury Financial Services, Inc.
  San Diego, CA
  Tulsa, OK
  Tulsa, OK
• 2019-08-30 → 2022-10-26
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Diego, CA
  Tulsa, OK
• 2011-05-27 → 2019-09-09
  U.S. Bancorp Investments, Inc.
  Phoenix, AZ
  Buckeye, AZ
  Peoria, AZ
  Phoenix, AZ
  Litchfield Park, AZ
  Phoenix, AZ
  Anthem, AZ
  Peoria, AZ
  Glendale, AZ
  Cave Creek, AZ
  Glendale, AZ
  Peoria, AZ
  Surprise, AZ
  Peoria, AZ
  Surprise, AZ
  Phoenix, AZ
  Goodyear, AZ
  Lake Havasu City, AZ
  Buckeye, AZ
  Glendale, AZ
  Goodyear, AZ
  Surprise, AZ
  Peoria, AZ
  Phoenix, AZ
  Prescott, AZ
  Prescott, AZ
  Phoenix, AZ
  Wickenburg, AZ
  Cave Creek, AZ
  Surprise, AZ
  Phoenix, AZ
  Sun City, AZ
  Phoenix, AZ
  Phoenix, AZ
  Surprise, AZ
  Phoenix, AZ
  Scottsdale, AZ
  Scottsdale, AZ
  Phoenix, AZ
  Scottsdale, AZ
  San Diego, CA
  San Diego, CA
  Escondido, CA
  San Marcos, CA
  San Marcos, CA
  Temecula, CA
  Temecula, CA
• 2006-04-26 → 2008-03-17
  Next Financial Group, Inc.
  Tempe, AZ

Other Businesses

1) I*135198 For profit or not for profit: For-Profit Organization Name of outside business organization: Dreamstyle Remodeling Investment related: N Address of business: San Diego, California 92126 Nature of business: Corporation, Position, title, association: Part-Time, Start date of relationship: 12/18/2020 Number of hours devoted: 60 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Remodeling Sales, primarily window and door replacement. Job duties include meeting clients and demonstrating products and taking orders. 2) ALAN SCHMIDT LIFE INSURANCE POSITION: Owner NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 09/14/2022 ADDRESS: 4974 E 27th St, Tulsa OK 74114, United States DESCRIPTION: Meeting with clients and determining needs for insurance. If needed, procuring policies and setting up the insurance for the clients.

Exams

• S65 Uniform Investment Adviser Law Examination
  2011-05-24
• S66 Uniform Combined State Law Examination
  2006-02-14

Other Names

• Alan Joel Schmidt
• Alan Schmidt