Alec Maurice 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:

Current Employers

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-01-24

TX RA
APPROVED

Since 2025-01-24

Branch Locations

Sugar Land, TX • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lincoln Financial Advisors Corporation	Houston	TX	07/1977	01/2025
Osaic Wealth, Inc.	Houston	TX	01/2025	Present

07/1977 → 01/2025

Lincoln Financial Advisors Corporation

Houston, TX
01/2025 → Present

Osaic Wealth, Inc.

Houston, TX

Previous Registrations

1996-05-29 → 2025-01-24

Osaic Fa, Inc.

Houston, TX

Houston, TX

Other Businesses

1)NAME AND ADDRESS: ALEC M. SMITH, 1330 POST OAK BLVD., SUITE 2800 HOUSTON, TEXAS 77056 CATEGORY: INSURANCE INVESTMENT-RELATED: YES TITLE: AGENT DUTIES: OFFERING ACCIDENT AND HEALTH, DISABILITY INSURANCE, HEALTH SAVINGS ACCOUNTS AND TRADITIONAL LIFE INSURANCE. START DATE: 6/1/1975 HOURS PER MONTH: 35 HOURS PER MONTH DURING TRADING HOURS: 15

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1996-05-13

S63 Uniform Securities Agent State Law Examination

1996-05-13

View on SEC IAPD