| Advisor Profile |
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Business Description |
Prior to founding The Harpeth Financial Group, Alan was Managing Director with Prudential in charge of offices in the state of Tennessee.
With over 30 years exoperience in investments, insurance services, and financial planning, his objective is to use his knowledge and experience to help meet the financial goals of his clients, based on long-term relationships, with uncompromising quality, integrity and service. |
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General Information |
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| Name of Broker/Dealer: |
LPL Financial
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| States Licensed in: |
TN KY AL MI WY
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| States Willing to do Business in: |
TN AL KY
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| Years of Experience in Financial Services: |
36
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| Number of Years with Current Firm: |
4
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| I work with the following types of clients: |
Individual Investors, Non-Profit Organizations, Businesses
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Education |
| Academic Background |
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| BS, Commerce - University of Virginia (1967) |
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Services |
| Investment Types: |
Stocks, Annuities, Insurance, Alternative Investments, Exchange Traded Funds (ETFs), Stocks Mutual Funds, Bonds
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Chartered Life Underwriter (CLU®), Insurance License (Life & Health; Long Term Care; Specify below), Chartered Financial Consultant (ChFC), Certified Divorce Financial Analyst(CDFA)
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| Securities Licenses: |
Series 24, Series 7, Series 66
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| Insurance and Annuity Licenses: |
Health, Annuity, Variable Annuity, Variable Life, Long Term Care, Disability, Life
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| Assets Managed by Firm: |
Yes
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Compliance |
| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| I am a fee-based financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
$25,000
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| Compensation Methods: |
Hourly, Based on Assets, Commissions
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| Prepared By: |
Alan Costa |
Frequently Asked Questions |
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