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Current Employers
Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2025-01-24
TX RA APPROVED_RES 2025-01-24
  • TN RA
    APPROVED
    Since 2025-01-24
  • TX RA
    APPROVED_RES
    Since 2025-01-24

Branch Locations

Knoxville, TN • United States

10420 Jackson Oaks Way Suite 102, Knoxville, TN 37922 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Valic Financial Advisors, Inc. Knoxville TN 12/2012 12/2019
Lincoln Financial Advisor Knoxville TN 12/2019 01/2025
Osaic Wealth, Inc. Knoxville TN 01/2025 Present
Previous Registrations
  • 2019-12-13 → 2025-01-24
    Osaic Fa, Inc.
    Knoxville, TN
    Knoxville, TN
    Knoxville, TN
  • 2013-02-25 → 2020-01-10
    Knoxville, TN
    Brentwood, TN
  • 2010-01-19 → 2010-07-06
    St Louis, MO
    Murfreesboro, TN
    Knoxville, TN
    Knoxville, TN
Other Businesses

1) RICHARD NELSON BRITTAIN - 10420 JACKSON OAKS WAY, SUITE 102, KNOXVILLE, TN 37922 CATEGORY: INSURANCE INVESTMENT RELATED: YES TITLE: AGENT DUTIES: SALE AND SERVICE OF FIXED ANNUITIES, INDEXED ANNUITIES, LONG-TERM CARE INSURANCE, AND TRADITIONAL LIFE INSURANCE START DATE: 12/1/2019 HOURS PER MONTH: 15 HOURS PER MONTH DURING TRADING HOURS: 15 2) STONEBRIDGE ADVISORS POSITION: Agent NATURE: life insurance and long term care insurance sales INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 12/31/2019 ADDRESS: 932 Roderick Rd, Knoxville TN 379238, United States DESCRIPTION: Sell appropriate life and long term care policies to clients. 3) PERSONAL/NELSON AND HEATHER BRITTAIN POSITION: Landlord NATURE: It is a detached garage with an apartment above the garage that gets rented out to a renter. It is not related to our business with Osaic in any way, nor is it involved with any securities, insurance, etc. business in any way. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/06/2025 ADDRESS: 8805 Farmington Drive, STE 102, Knoxville TN 37923, United States DESCRIPTION: My only obligation is figuring out what to charge for utilities and sending that to the renter. Other than that, the business is handled by a real estate company on our behalf.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-02-11
  • S66 Uniform Combined State Law Examination
    2013-02-11
Other Names
  • Nelson Brittain

View on SEC IAPD

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