Sam Head (CRD #: 2456312), a South Carolina broker registered with Ameriprise Financial Services, is involved in his 6th customer dispute, according to his BrokerCheck record, accessed on January 4, 2021. Keep reading for more details surrounding these investor complaints.

On October 28, 2020, clients alleged that Sam Head sold them unsuitable investments. They were allegedly unsuitable based on their desire to avoid long-term, illiquid investments. The client is seeking $17,500; the dispute is pending.

This is not his only dispute alleging unsuitability. On September 9, 2020, a client alleged that Sam Head sold him securities that were unsuitable based on his desire to protect his principal. The client is seeking $315,000; the dispute is pending.

On January 20, 2010, a client alleged that Head did not follow instructions. The client sought $55,542.52; the dispute settled for $55,542.52.

On November 9, 2008, a client alleged that Sam Head failed to honor her requests to liquidate her variable annuity contract. She further alleged that the firm failed to supervise. The client sought $130,000; the dispute settled for $45,000.

On October 31, 2008, a client alleged that Head sold her high-risk investments. She further alleged that unauthorized re-allocations were made to her account. The dispute settled for $2,646.28.

Sam Head has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 7 General Securities Representative Examination, and the Series 6 Investment Company / Variable Contracts Representative Examination. He is a registered broker in 19 states and a registered investment adviser in South Carolina and Texas.

Head has worked in the securities industry for 26 years. In his over two decades of experience, he has worked at three firms.

  • Ameriprise Financial Services (CRD #: 6363)
  • Voya Financial Advisors (CRD #: 2882)
  • NYLife Securities (CRD #: 5167)

If Sam Head was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email info@fkesq.com for a free case consultation with a securities attorney.

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