DH
Daniel G. Head
OSAIC ADVISORY SERVICES
Knoxville, TN 37932
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CRD#: 1021497
DH
Professional summary
Daniel Graham Head, who also goes by Dan Head, is a registered financial advisor currently at OSAIC ADVISORY SERVICES, LLC located in Knoxville, Tennessee and OSAIC WEALTH, INC. located in Knoxville, Tennessee.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Daniel has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan Head
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. HEAD INVESTMENT PARTNERS POSITION: managing director NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 35 SECURITIES TRADING HOURS: 7 START DATE: 07/01/2016 ADDRESS: 2280 Valley Vista Rd, Ste A, Knoxville TN 37932, United States DESCRIPTION: manage the daily operations of the business,client contact,portfolio analyst, growing the business 2. D&C Management;not investment related;1232 Anthem View,Knoxville,TN 37922;property management;property management;9/2012;0 hrs/month;0 hrs during trading;wife handles renters,etc. 3. N Hance;not investment related;1232 Anthem View Ln,Knoxville,TN 37922;no position at this time;7/2016;0 hrs/month;0 hrs during trading;wife's wood refinishing business 4. DANIEL GRAHAM LLC POSITION: managing director NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2016 ADDRESS: 2280 Valley Vista Rd, Ste A, Knoxville TN 37932, United States DESCRIPTION: owner of the LLC 5. Valley Vista Asset Management; 2280 Valley Vista Rd Ste A, Knoxville, TN 37932; Yes Investment Related; DBA For Asset Management; DBA - Managing Director; 09/2017; Minimal Hours per month; <1 Hour per Trading Day; this represents a DBA to allows us to more clearly position ourselves in conjunction with other advisors; 6. Shadesavers;investment related;2280 Valley Vista,Knoxville,TN 37932;consumer product;owner/investor;1/1/2020;~15 hrs/month;0 hrs during trading;watch over admin of business relationships,legal & accounting relationships,help in business presentation of Shadesaver product 6. SHADESAVERS POSITION: owner/investor NATURE: consumer product INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2020 ADDRESS: 2280 Valley Vista, Knoxville TN 37932, United States DESCRIPTION: watch over admin of business relationships,legal & accounting relationships,help in business presentation of Shadesaver product
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Graham Head's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 29, 2016 - Present
OSAIC ADVISORY SERVICES, LLC
Office #1: 2280 Valley Vista Road Suite A, Knoxville, TN 37932RIA
CRD#: 171070
Knoxville, TN
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 2280 Valley Vista Road Suite A, Knoxville, TN 37932RIA
BD
CRD#: 23131
Knoxville, TN
Past
July 29, 2016 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
Knoxville, TN
Past
December 2, 2008 - August 2, 2016
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
KNOXVILLE, TN
Past
November 24, 2008 - August 2, 2016
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
KNOXVILLE, TN
Past
March 16, 2001 - December 2, 2008
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
KNOXVILLE, TN
Past
October 17, 1994 - December 2, 2008
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
KNOXVILLE, TN
Past
October 3, 1994 - October 12, 1994
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
June 3, 1987 - October 12, 1994
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
April 19, 1982 - May 14, 1982
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
Past
December 11, 1981 - June 9, 1987
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OA
OSAIC ADVISORY SERVICES, LLC
2020 WEALTH MANAGEMENT GROUP | ROBARE & JONES WEALTH MANAGEMENT | RIVERTOWN INVESTMENT ADVISORS | RIVER ROCK WEALTH ADVISORY | RIGHT FINANCIAL ADVISOR | RETIREMENT PLAN SERVICE ADVISOR | RED CEDAR WEALTH ADVISORS | RD FINANCIAL | PROFITABLE FINANCIAL STRATEGIES | PROFESSIONAL PLANNING & WEALTH, LLC | PROCEL FINANCIAL | PRESTIGE WEALTH MANAGEMENT | PLATINUM BRIDGE WEALTH STRATEGIES | PLACE FINANCIAL ADVISORS | PINNACLE ASCENT WEALTH MANAGEMENT | PILLAR FINANCIAL ADVISORS | PIERSON FINANCIAL GROUP | PFS CAPITAL MANAGEMENT, LLC | PFS CAPITAL MANAGEMENT | PEAK WEALTH MANAGEMENT, LLC | PEAK WEALTH MANAGEMENT | PARSONS INVESTMENTS | PAPA WEALTH MANAGEMENT | PADDEN FINANCIAL SERVICES | OSAIC ADVISORY SERVICES, LLC | OSAIC ADVISORS | ONMARK ASSET MANAGEMENT | OCEAN CREST | NW INVESTMENT AND RETIREMENT GROUP | NORTHWEST INVESTMENT & RETIREMENT GROUP | NORTHWEST CAPITAL | NORTHSTAR WEALTH MANAGEMENT | NORTHSTAR ADVISORY GROUP | NORTHRIVER FINANCIAL GROUP, LLC | NORTH SHORE WEALTH MANAGEMENT ADVISORS | NIEMI FINANCIAL SERVICES | MORGAN CAPITAL SOLUTIONS, LLC | MOORE WEALTH MANAGEMENT | MOONEY LYONS FINANCIAL ADVISORS | MICHIGAN 401K CONSULTANTS | MFR | MCM INVESTOR SERVICES | MC2 WEALTH SOLUTIONS, LLC | LIFE WELL LIVED FINANCIAL GROUP | LIFE WELL LIVED | LEVEQUE FINANCIAL SERVICES | LEGACY WEALTH MANAGEMENT | LEGACY CAPITAL MANAGEMENT | LEGACY ADVISORY GROUP | LEA FINANCIAL GROUP | LARSON FINANCIAL SERVICES | LAKEVIEW ASSET MANAGEMENT | KRONOS WEALTH MANAGEMENT | KONTY FINANCIAL SERVICES | KOLEY FINANCIAL / LEGAL | KERINS HENDRICKSON WEALTH MANAGEMENT | KARL J. KORADE, CPA CDFA | KAMPSTRA WEALTH MANAGEMENT | JUSTABOUT WEALTH MANAGEMENT LLC | JUSTABOUT WEALTH | JOTKOFF FINANCIAL SERVICES, INC | JOBIN FINANCIAL | IRONWOOD FAMILY WEALTH ADVISORS | IRONSIGHT WEALTH MANAGEMENT LLC. | INVESTMENT DESIGNERS, INC. (BROOKFIELD) | INVESTMENT DESIGNERS, INC. | INDICON, INC. | INDICON, INC | INCOMEMAX, LLC | HIGHLAND CAPITAL BROKERAGE | HERSHEY WEALTH ADVISORS | HERMANN FINANCIAL SERVICES, INC. | HERMANN FINANCIAL SERVICES, INC | HERMANN FINANCIAL | HERITAGE PRIVATE WEALTH MANAGEMENT | HEAD INVESTMENT PARTNERS | HAMMERSTROM WEALTH MANAGEMENT | HACHEY WEALTH MANAGEMENT | HACHEY WEALTH MANAGEMEN | GUGGER ASSET MANAGEMENT | GREEN VALLEY FINANCIAL | GOTTIER INVESTMENTS | GLEASON FINANCIAL GROUP | GL CAPITAL | GEORGE W. HOOK III FINANCIAL SERVICES | GENEVA WEALTH MANAGEMENT | GAULDEN & ASSOCIATES | G&P FINANCIAL | FULL CIRCLE WEALTH MANAGEMENT | FRIERSON CAPITAL MANAGEMENT | FREEDOM POINT FINANCIAL | FORTRESS WEALTH ADVISORS | FIRST CHOICE FINANCIAL | FINEST FINANCIAL GROUP | FINANCIAL SOLUTIONS | FINANCIA ADVISORS | FIDUCIARY FINANCIAL SERVICES | FIDUCIARY FINANCIAL SERVICE | EMPOWER WEALTH MANAGEMENT | EMICO ADVISORY SERVICES | EMERALD CITY FIDUCIARY GROUP | EM FINANCIAL | ECHELON GROUP | EAST COAST ADVISORY | DUO WEALTH ADVISORS, LLC | DUO WEALTH | DUNHAM & DEITEL WEALTH MANAGEMENT | DIAMOND FINANCIAL PARTNERS | DELTA FINANCIAL GROUP (DFG) | DELMARVA FINANCIAL GROUP | DARWISH FINANCIAL | DANIELS FINANCIAL SERVICES | CVACH FINANCIAL SERVICES | CTM WEALTH ADVISORS | CTM FINANCIAL GROUP, LLC | CREATIVE FINANCIAL PARTNERS | CLEARVIEW FINANCIAL, LLC | CLARITY FINANCIAL ADVISORS | CLARITY CAPITAL MANAGEMENT | CITY FIDUCIARY GROUP | CHITWOOD WEALTH MANAGEMENT | CHESTNUT FINANCIAL GROUP | CAPITAL & BUSINESS PLANNING | CANTRILL FINANCIAL GROUP LLC | CADENT WEALTH MANAGEMENT | CA FINANCIAL SERVICES | BRUCO INVESTMENT GROUP | BRODE FINANCIAL GROUP | BRIGGS FINANCIAL SERVICES | BRAND & CO. 401(K) ADVISORS | BOKEH FINANCIAL, LLC | BLUEGRASS LEGACY GROUP | BLUE WATERS WEALTH ADVISORS | BLOOMFIELD HILLS ADVISORY | BLAKE GALLION, CFP | BLACK STONE PARTNERS, LLC | BEACON BALANCED WEALTH | BASECAMP INVESTMENTS | BARONS FINANCIAL STRATEGIES INC. | BAIKIE AND ALCANTARA | ASCENT FINANCIAL GROUP | ARMSTRONG FINANCIAL PARTNERS | ARM WEALTH MANAGEMENT | ARGENT BRIDGE ADVISORS | ARBOR GROUP ADVISORS | ANNA C. WINSLOW, CPA | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | ALERA GROUP | AILERON WEALTH MANAGEMENT | AIELLO WEALTH MANAGEMENT | AEON WEALTH MANAGEMENT | ADVICEPOINT, LLC | A. GAINES FINANCIAL | 76 WEALTH ADVISORY...
CRD#: 171070 / SEC#: 801-80075
RIA
Registered Investment Advisory firm - (7/17/2014 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Alabama(8/8/2016)
RR
Alabama(8/23/2024)
IAR
California(7/29/2016)
IAR
Colorado(11/9/2017)
IAR
Florida(8/5/2016)
RR
Florida(8/23/2024)
IAR
Georgia(8/1/2016)
RR
Georgia(8/23/2024)
IAR
Illinois(7/29/2016)
RR
Illinois(8/23/2024)
IAR
Indiana(7/29/2016)
IAR
Kansas(8/15/2016)
RR
Kansas(11/4/2025)
IAR
Kentucky(5/25/2021)
IAR
Maryland(8/4/2016)
RR
Maryland(8/23/2024)
IAR
Massachusetts(10/18/2016)
RR
Massachusetts(8/23/2024)
IAR
Michigan(8/23/2021)
IAR
Mississippi(5/11/2018)
IAR
Missouri(8/3/2016)
RR
Missouri(11/4/2025)
RR
New York(8/23/2024)
IAR
North Carolina(8/1/2016)
RR
North Carolina(8/23/2024)
IAR
Ohio(7/29/2016)
IAR
South Carolina(8/1/2016)
RR
South Carolina(11/4/2025)
IAR
South Dakota(8/3/2016)
IAR
Tennessee(7/29/2016)
RR
Tennessee(8/23/2024)
IAR
Texas(2/6/2019)
IAR
Utah(1/22/2019)
RR
Utah(11/4/2025)
IAR
Virginia(8/1/2016)
RR
Virginia(8/23/2024)
IAR
Washington(5/26/2021)
IAR
West Virginia(8/15/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OA
OSAIC ADVISORY SERVICES, LLC
2020 WEALTH MANAGEMENT GROUP | ROBARE & JONES WEALTH MANAGEMENT | RIVERTOWN INVESTMENT ADVISORS | RIVER ROCK WEALTH ADVISORY | RIGHT FINANCIAL ADVISOR | RETIREMENT PLAN SERVICE ADVISOR | RED CEDAR WEALTH ADVISORS | RD FINANCIAL | PROFITABLE FINANCIAL STRATEGIES | PROFESSIONAL PLANNING & WEALTH, LLC | PROCEL FINANCIAL | PRESTIGE WEALTH MANAGEMENT | PLATINUM BRIDGE WEALTH STRATEGIES | PLACE FINANCIAL ADVISORS | PINNACLE ASCENT WEALTH MANAGEMENT | PILLAR FINANCIAL ADVISORS | PIERSON FINANCIAL GROUP | PFS CAPITAL MANAGEMENT, LLC | PFS CAPITAL MANAGEMENT | PEAK WEALTH MANAGEMENT, LLC | PEAK WEALTH MANAGEMENT | PARSONS INVESTMENTS | PAPA WEALTH MANAGEMENT | PADDEN FINANCIAL SERVICES | OSAIC ADVISORY SERVICES, LLC | OSAIC ADVISORS | ONMARK ASSET MANAGEMENT | OCEAN CREST | NW INVESTMENT AND RETIREMENT GROUP | NORTHWEST INVESTMENT & RETIREMENT GROUP | NORTHWEST CAPITAL | NORTHSTAR WEALTH MANAGEMENT | NORTHSTAR ADVISORY GROUP | NORTHRIVER FINANCIAL GROUP, LLC | NORTH SHORE WEALTH MANAGEMENT ADVISORS | NIEMI FINANCIAL SERVICES | MORGAN CAPITAL SOLUTIONS, LLC | MOORE WEALTH MANAGEMENT | MOONEY LYONS FINANCIAL ADVISORS | MICHIGAN 401K CONSULTANTS | MFR | MCM INVESTOR SERVICES | MC2 WEALTH SOLUTIONS, LLC | LIFE WELL LIVED FINANCIAL GROUP | LIFE WELL LIVED | LEVEQUE FINANCIAL SERVICES | LEGACY WEALTH MANAGEMENT | LEGACY CAPITAL MANAGEMENT | LEGACY ADVISORY GROUP | LEA FINANCIAL GROUP | LARSON FINANCIAL SERVICES | LAKEVIEW ASSET MANAGEMENT | KRONOS WEALTH MANAGEMENT | KONTY FINANCIAL SERVICES | KOLEY FINANCIAL / LEGAL | KERINS HENDRICKSON WEALTH MANAGEMENT | KARL J. KORADE, CPA CDFA | KAMPSTRA WEALTH MANAGEMENT | JUSTABOUT WEALTH MANAGEMENT LLC | JUSTABOUT WEALTH | JOTKOFF FINANCIAL SERVICES, INC | JOBIN FINANCIAL | IRONWOOD FAMILY WEALTH ADVISORS | IRONSIGHT WEALTH MANAGEMENT LLC. | INVESTMENT DESIGNERS, INC. (BROOKFIELD) | INVESTMENT DESIGNERS, INC. | INDICON, INC. | INDICON, INC | INCOMEMAX, LLC | HIGHLAND CAPITAL BROKERAGE | HERSHEY WEALTH ADVISORS | HERMANN FINANCIAL SERVICES, INC. | HERMANN FINANCIAL SERVICES, INC | HERMANN FINANCIAL | HERITAGE PRIVATE WEALTH MANAGEMENT | HEAD INVESTMENT PARTNERS | HAMMERSTROM WEALTH MANAGEMENT | HACHEY WEALTH MANAGEMENT | HACHEY WEALTH MANAGEMEN | GUGGER ASSET MANAGEMENT | GREEN VALLEY FINANCIAL | GOTTIER INVESTMENTS | GLEASON FINANCIAL GROUP | GL CAPITAL | GEORGE W. HOOK III FINANCIAL SERVICES | GENEVA WEALTH MANAGEMENT | GAULDEN & ASSOCIATES | G&P FINANCIAL | FULL CIRCLE WEALTH MANAGEMENT | FRIERSON CAPITAL MANAGEMENT | FREEDOM POINT FINANCIAL | FORTRESS WEALTH ADVISORS | FIRST CHOICE FINANCIAL | FINEST FINANCIAL GROUP | FINANCIAL SOLUTIONS | FINANCIA ADVISORS | FIDUCIARY FINANCIAL SERVICES | FIDUCIARY FINANCIAL SERVICE | EMPOWER WEALTH MANAGEMENT | EMICO ADVISORY SERVICES | EMERALD CITY FIDUCIARY GROUP | EM FINANCIAL | ECHELON GROUP | EAST COAST ADVISORY | DUO WEALTH ADVISORS, LLC | DUO WEALTH | DUNHAM & DEITEL WEALTH MANAGEMENT | DIAMOND FINANCIAL PARTNERS | DELTA FINANCIAL GROUP (DFG) | DELMARVA FINANCIAL GROUP | DARWISH FINANCIAL | DANIELS FINANCIAL SERVICES | CVACH FINANCIAL SERVICES | CTM WEALTH ADVISORS | CTM FINANCIAL GROUP, LLC | CREATIVE FINANCIAL PARTNERS | CLEARVIEW FINANCIAL, LLC | CLARITY FINANCIAL ADVISORS | CLARITY CAPITAL MANAGEMENT | CITY FIDUCIARY GROUP | CHITWOOD WEALTH MANAGEMENT | CHESTNUT FINANCIAL GROUP | CAPITAL & BUSINESS PLANNING | CANTRILL FINANCIAL GROUP LLC | CADENT WEALTH MANAGEMENT | CA FINANCIAL SERVICES | BRUCO INVESTMENT GROUP | BRODE FINANCIAL GROUP | BRIGGS FINANCIAL SERVICES | BRAND & CO. 401(K) ADVISORS | BOKEH FINANCIAL, LLC | BLUEGRASS LEGACY GROUP | BLUE WATERS WEALTH ADVISORS | BLOOMFIELD HILLS ADVISORY | BLAKE GALLION, CFP | BLACK STONE PARTNERS, LLC | BEACON BALANCED WEALTH | BASECAMP INVESTMENTS | BARONS FINANCIAL STRATEGIES INC. | BAIKIE AND ALCANTARA | ASCENT FINANCIAL GROUP | ARMSTRONG FINANCIAL PARTNERS | ARM WEALTH MANAGEMENT | ARGENT BRIDGE ADVISORS | ARBOR GROUP ADVISORS | ANNA C. WINSLOW, CPA | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | ALERA GROUP | AILERON WEALTH MANAGEMENT | AIELLO WEALTH MANAGEMENT | AEON WEALTH MANAGEMENT | ADVICEPOINT, LLC | A. GAINES FINANCIAL | 76 WEALTH ADVISORY...
CRD#: 171070 / SEC#: 801-80075
RIA
Registered Investment Advisory firm - (7/17/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2300 Windy Ridge Parkway Suite 750, Atlanta, GA 30339
Mailing Address
Phone number
(866) 580-8219
Established
Firm type
Fiscal year end
# of Employees
2,594
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 47,032 |
| AUM (Assets Under Management) | $ 12,469,688,882 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 01/24/2024 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
OSAIC ADVISORY SERVICES, LLC
CRD#: 171070Knoxville, TN 37932TRUST BUT VERIFY
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