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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

RICHARD NELSON BRITTAIN

Advisor at OSAIC WEALTH, INC.

KNOXVILLE, TN

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Search this name across graphsid dfx:ria:988b1a06-9e8f-1a8a-8cd6-79d6a5f600c9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 19, 2010 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: OSAIC WEALTH, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 19, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Feb 11, 2013
First registration: Jan 19, 2010
Dual registered: yes, broker-dealer
Other names: Nelson Brittain
IAPD individual key: 5736858

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
OSAIC WEALTH, INC.	Bd affiliated wealth	Jan 24, 2025	n/a	yes	KNOXVILLE, TN\|KNOXVILLE, TN	Current employment
OSAIC FA, INC.	Former SEC adviser	Dec 13, 2019	Jan 24, 2025	no	KNOXVILLE, TN\|KNOXVILLE, TN\|KNOXVILLE, TN	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Feb 25, 2013	Jan 10, 2020	no	KNOXVILLE, TN\|BRENTWOOD, TN	Previous registration
EDWARD JONES	National bd RIA	Jan 19, 2010	Jul 6, 2010	no	ST LOUIS, MO\|MURFREESBORO, TN\|KNOXVILLE, TN\|KNOXVILLE, TN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
OSAIC FA, INC.	OSAIC WEALTH, INC.	Jan 24, 2025	Jan 24, 2025	0	Bulk transfer	Ibd to ibd
VALIC FINANCIAL ADVISORS, INC.	OSAIC FA, INC.	Jan 10, 2020	Dec 13, 2019	-28	Firm change	Ibd to ibd
EDWARD JONES	VALIC FINANCIAL ADVISORS, INC.	Jul 6, 2010	Feb 25, 2013	965	Firm change after gap	Other

Relationships

Registered with (4)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Jan 24, 2025 to presentfactForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Dec 13, 2019 to Jan 24, 2025factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Feb 25, 2013 to Jan 10, 2020factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Jan 19, 2010 to Jul 6, 2010factForm ADV

Dated events

No dated event names this entity yet.