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DH

Donald L. Head

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CRD#: 240919
DH

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Donald Lambing Head, who also goes by Donald L Head, was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 2002. Donald had worked at 2 firms and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Donald L 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 8, 2006 - January 2, 2015

HEADINVEST

RIA
CRD#: 140518
PORTLAND, ME
Past

December 11, 2002 - June 19, 2006

HEAD AND ASSOCIATES, INC

RIA
CRD#: 106359
PORTLAND, ME

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".
HE
HEADINVEST
ANDROSCOGGIN SAVINGS BANK | HEADINVEST, LLC | HEADINVEST | HEAD AND ASSOCIATES, LLC | HEAD AND ASSOCIATES

CRD#: 140518 / SEC#: 801-66773

RIA
Registered Investment Advisory firm - (6/8/2006 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/8/1996
Uniform Investment Adviser Law Examination

Current Firm

HE
HEADINVEST
ANDROSCOGGIN SAVINGS BANK | HEADINVEST, LLC | HEADINVEST | HEAD AND ASSOCIATES, LLC | HEAD AND ASSOCIATES

CRD#: 140518 / SEC#: 801-66773

RIA
Registered Investment Advisory firm - (6/8/2006 Approved)
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Contact information

Main Address
7 Custom House St 4th Floor, Portland, ME 04101-4194
Mailing Address
Phone number
(207) 773-5333
Established
Firm type
Fiscal year end
# of Employees
15

SEC notice filing (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

HEADINVEST LLC BROCHURE (3/10/2025)

Regulatory assets under management

Total Number of Accounts1,232
AUM (Assets Under Management)$ 969,679,151

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

HEADINVEST

CRD#: 140518

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