Keith John Schottman

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

• 09/2010 → 06/2024
  Securities America Inc.
  Lavista, NE
• 09/2010 → 06/2024
  Securities America Advisors
  Lavista, NE
• 06/2024 → Present
  Osaic Wealth, Inc.
  Buffalo, NY
• 06/2024 → Present
  Osaic Wealth, Inc.
  Buffalo, NY

Previous Registrations

• 2021-09-09 → 2024-06-14
  Securities America Advisors, Inc.
  Buffalo, NY

Other Businesses

1. BUFFALO ROTARY FOUNDATION, INC POSITION: Board Member as Club President NATURE: Rotary Foundation Board INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2022 ADDRESS: 14 Lafayette Sq Ste 2200, Buffalo NY 14203 DESCRIPTION: Board member of Rotary Foundation, separate entity from Rotary Club that is the 501c that receives funds, invests funds and distributes grants. 2. ST BENEDICT SCHOOL BOARD POSITION: Board Member NATURE: School Board INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2022 ADDRESS: 3980 Main Street, Amherst NY 14226 DESCRIPTION: School Board Membership 3. BUFFALO ROTARY FOUNDATION, INC POSITION: Board Member NATURE: Rotary Foundation Board INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2022 ADDRESS: 14 Lafayette Sq Ste 2200, Buffalo NY 14203 DESCRIPTION: Board member of Rotary Foundation, separate entity from Rotary Club that is the 501c that receives funds, invests funds and distributes grants. 4. BUFFALO ROTARY CLUB POSITION: Past President NATURE: Buffalo Rotary Club Past President INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 07/01/2023 ADDRESS: 14 Lafayette Square, Suite 2200, Buffalo NY 14203 DESCRIPTION: Past President of the club 5. TOWN OF CHEEKTOWAGA EMPLOYEES FEDERAL CREDIT UNION POSITION: Supervisory Committee member NATURE: Federal Credit Union INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 09/01/2024 ADDRESS: 3251 Broadway, Cheektowaga NY 14227, United States DESCRIPTION: https://publishedguides.ncua.gov/examiner/Content/ExaminersGuide/CreditUnionOversight/SupervisoryCommittee/SCLanding.htm Supervisory Committee The supervisory committee safeguards member assets by ensuring a credit union is operating properly. It has broad oversight authority to hold a credit union's board of directors and senior management accountable for fulfilling their responsibilities in the interests of the credit union's members, and for operating according to sound business, ethical, and regulatory standards. 6. KEITH SCHOTTMAN ALLAIRE FINANCIAL STRATEGIES INSURANCE SALES POSITION: Sales NATURE: ALLAIRE FINANCIAL STRATEGIES/LIFE AND DISABILITY INSURANCE SALES--VICE PRESIDENT - FINANCIAL PLANNER - Investment Related - 5% TIME SPENT INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 01/01/2011 ADDRESS: 22 Wainwright Road, BUFFALO NY 14215, United States DESCRIPTION: Life, Accident and Health Insurance Sales 7. ALLAIRE FINANCIAL STRATEGIES POSITION: Osaic Wealth Inc. Fee Based Business NATURE: OSAIC WEALTH, INC. - Investment Advisory - INVESTMENT ADVISOR REPRESENTATIVE - Investment Related - Start Date: 06/14/2024 Located at 22 WAINWRIGHT ROAD, BUFFALO, NY 14215 INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 06/14/2024 ADDRESS: 22 Wainwright Road, BUFFALO NY 14215, United States DESCRIPTION: Osaic Wealth Inc. Fee Based Business

Exams

• S66 Uniform Combined State Law Examination
  2012-06-08
• S63 Uniform Securities Agent State Law Examination
  2008-10-08