Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Credentials
Series 65, Series 66
Experience Industry experience
20 years
Location
Surprise, AZ
Osaic Advisory Services, LLC
Enterprise
Alan Schmidt is a financial advisor with Osaic Advisory Services, LLC, holding Series 65 and Series 66 designations and bringing 20 years of industry experience. His prior roles include positions at Woodbury Financial Services, Bank of America, Merrill, U.S. Bancorp Investments, and Next Financial Group. Outside of advising, he is involved part-time in remodeling sales with Dreamstyle Remodeling and owns a life insurance business focused on client needs. Osaic Advisory Services, LLC is an SEC-registered enterprise advisor serving a diverse client base, including high-net-worth individuals, corporate and charitable entities, pension plans, and sovereign wealth funds. The firm offers a range of managed programs, retirement plan consulting, financial planning, and access to alternative investments, utilizing a mix of fundamental and technical strategies along with platform partnerships to deliver and monitor investment solutions.
Based on Osaic Advisory Services, LLC
Fixed or flat fees for financial planning and consulting services generally range up to $25,000 but can be higher for complex cases or high net worth individuals.
$0+: Up to 2.50% annually (maximum annual fee regardless of account size) $0 - Variable tiered schedule used for Plan Participant Retirement Program with maximum fee up to 3%: Tiered management fee schedule with fee percentage lowering as assets increase for certain programs, exact tiers negotiable and disclosed prior to service.
Advisory Representatives may receive commissions when selling securities or insurance products through Osaic Wealth, the affiliated broker-dealer, in addition to advisory fees. Commissions vary by product.
Hourly fees for financial planning or consulting range from $0 - $750 per hour, not exceeding total fees of $25,000 typically, subject to negotiation.
Minimum fee: Minimum service fee which is the greater of $30 or up to 15 basis points (0.15%) annually assessed to the advisor per account. Fee-only: Financial planning and consulting services charged either on an hourly fee, fixed fee, or combination thereof. Fixed fees generally range up to $25,000 but can exceed for high net worth clients. Hourly fees generally range from $0 to $750 per hour, not exceeding $25,000 total.
Surprise, AZ
Surprise AZ
Advisors at this office
1
Arizona · Oklahoma · Texas
20 years of industry experience
Osaic Advisory Services, LLC
2025 - Present • 1 year
Surprise, AZ
OSAIC
2024 - Present • 2 years
Tulsa, OK
Woodbury Financial Services INC
2022 - 2024 • 2 years
Tulsa, OK
BANK of AMERICA, N.A.
2019 - 2022 • 3 years
San Diego, CA
Merrill
2019 - 2022 • 3 years
San Diego, CA
U.S. Bancorp Investments, Inc.
2010 - 2019 • 9 years
San Diego, CA
Next Financial Group, Inc.
2006 - 2008 • 2 years
Tempe, AZ
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
A felony or certain misdemeanor charges, whatever the outcome, including dismissals and acquittals.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
Bank
They're affiliated with a bank that may offer its own financial products and services.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Series 63, Series 65
Peoria, AZ
21:5 Advisors, LLC
Joel Beyer is a financial advisor at 21:5 Advisors, LLC with 25 years of industry experience. He holds Series 63 and Series 65 credentials and has worked at several firms, including Heritage Wealth Management and RFG Advisory. Beyer has been self-employed since 1989 and founded 21:5 Advisors in 2024. 21:5 Advisors provides investment management, comprehensive financial planning, and facilitates estate-planning document preparation through third-party technology platforms. The firm serves individuals, high-net-worth clients, charitable organizations, and businesses, employing a mix of passive and active investment strategies guided by modern portfolio theory and emphasizing integrated operational and cybersecurity planning.
Series 63, Series 65
Sun City West, AZ
Martin Financial Solutions, LLC
Peter Martin is the sole advisor at Martin Financial Solutions, LLC, an independent firm based in Sun City West, AZ. He holds Series 63 and Series 65 licenses and has 14 years of industry experience, having led his firm since 2012. In addition to his advisory work, Martin is an independent insurance agent specializing in disability, life, accident, and health insurance. Martin Financial Solutions provides discretionary portfolio management and financial consulting to individuals, trusts, and estates. The firm focuses on asset allocation primarily using exchange-traded funds, incorporating fundamental, cyclical, and technical analysis, and also offers a bi-monthly economics newsletter on a subscription basis.
Series 65
Gelndale, AZ
Alvarado & Associates, LLC
Carlos Alvarado is the principal of Alvarado & Associates, LLC, an independent advisory firm based in Glendale, AZ. He holds a Series 65 designation and has eight years of industry experience. Prior to founding his firm, he worked with Althia Capital Advisors and currently holds a financial analyst role at Jacobs Solutions. Additionally, he is associated with Caudal Capital in Panama, where he holds a license to provide investment advisory services. Alvarado & Associates offers discretionary portfolio management to individuals and families, including high-net-worth clients, focusing on diversified portfolios that emphasize income generation, risk management, and long-term capital stewardship. The firm manages client accounts on a discretionary basis, conducting regular reviews and utilizing Interactive Brokers for execution and global access.
ChFC®
Peoria, AZ
Authentic Financial Planning
Charles Herman Jr. is a ChFC® credentialed financial advisor with five years of industry experience, currently practicing at Authentic Financial Planning in Peoria, AZ. His background includes roles in financial planning, tax preparation, mortgage brokerage, insurance, and real estate sales. Outside of advisory services, he is involved in tax preparation and accounting through his business, The Money Agency, and operates a mortgage lending firm. Authentic Financial Planning serves individuals, families, business owners, and corporations with ongoing financial planning and investment management through tiered packages and project-based services. The firm offers a multi-meeting initial planning process, regular reviews, and a mix of billing options, supported by affiliated businesses in insurance, tax, real estate, and mortgage services disclosed as separate lines of business.
Series 63, Series 65
Glendale, AZ
Valhalla Advisors LLC
Jonmark Richardson is a financial advisor with Valhalla Advisors LLC in Glendale, AZ, holding Series 63 and Series 65 licenses and six years of industry experience. He is also the owner of Financial Partners of America LLC, a licensed insurance agency. Jonmark has been associated with Financial Partners of America LLC since 2011 and founded Valhalla Advisors LLC in 2020. Valhalla Advisors serves individual and high-net-worth clients as well as corporations, providing discretionary portfolio management alongside financial and estate planning. The firm’s investment approach involves long-term trading based on cyclical, fundamental, and technical analysis and includes the use of derivatives and structured products tailored to each client.
Series 63, Series 66, Series 65
Glendale, AZ
Moore Wealth Partners, LLC
Shawna Moore is the principal of Moore Wealth Partners, LLC in Glendale, Arizona, holding Series 63, 65, and 66 licenses with 10 years of industry experience. She previously worked at Foundations Investment Advisors, LLC, McKinney Financial Group, and other firms. She also operates an insurance practice offering life, annuities, and long-term care products. Moore Wealth Partners provides discretionary asset management, financial planning, and consulting services to individuals, high-net-worth clients, and qualified retirement plans. The firm employs a model-based investment approach using sub-advisors and third-party managers, with quarterly account reviews and plan updates.
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