Ralph John Schroeder

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

• 09/2005 → 07/2021
  Ameriprise Financial Services, Inc.
  The Woodlands, TX
• 07/2021 → 06/2024
  Securities America, Inc
  The Woodlands, TX
• 07/2021 → 11/2024
  Arbor Point Advisors
  The Woodlands, TX
• 06/2024 → Present
  Osaic Wealth, Inc.
  The Woodlands, TX
• 11/2024 → Present
  Osaic Advisory Services, Llc
  Atlanta, GA

Previous Registrations

• 2021-07-29 → 2024-11-08
  Arbor Point Advisors
  The Woodlands, TX
  The Woodlands, TX
• 1986-12-24 → 2021-08-02
  Ameriprise Financial Services, Llc
  The Woodlands, TX

Other Businesses

1. BOA PROPERTY, LLC POSITION: Manager NATURE: Rental property INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2011 ADDRESS: 118 Trinity Oaks Cir, The Woodlands TX 77381 DESCRIPTION: Rental property 2. THE ORCHARDS ON BRAZOS BEND, LLC POSITION: Manager NATURE: Tree Farm INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 10/21/2020 ADDRESS: 118 Trinity Oaks Cir, The Woodlands TX 77381 DESCRIPTION: Management 3. DBA - Schroeder Wealth Advisors 4. MAYSFIELD HOLDINGS, LLC POSITION: Managing manager NATURE: Real Estate INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2021 ADDRESS: 118 Trinity Oaks Cir, The Woodlands TX 77381 DESCRIPTION: Real Estate 5. NOTARY POSITION: Notary NATURE: Notary INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2023 ADDRESS: 10001 Woodloch Forest Drive, Suite 550, The Woodlands TX 77380, United States DESCRIPTION: Notary 6. GRANT WILLIAM SCHROEDER TRUST POSITION: Trustee NATURE: Trustee INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/1999 ADDRESS: 118 Trinity Oaks Circle, The Woodlands TX 77381, United States DESCRIPTION: Trustee

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-11-22
• S63 Uniform Securities Agent State Law Examination
  1984-06-29

Designations

• Certified Financial Planner
• Chartered Financial Consultant