| 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: |
10
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| I work with the following types of clients: |
Businesses, Non-Profit Organizations, Individual Investors
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Education |
| Academic Background |
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| BS, Commerce - University of Virginia (1967) |
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Services |
| Investment Types: |
Exchange Traded Funds (ETFs), Alternative Investments, Bonds, Stocks, Annuities, Insurance, Mutual Funds, Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Insurance License (Life & Health; Long Term Care; Specify below), Certified Divorce Financial Analyst(CDFA), Chartered Life Underwriter (CLU®)
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| Securities Licenses: |
Series 66, Series 7, Series 24
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| Insurance and Annuity Licenses: |
Variable Life, Disability, Variable Annuity, Long Term Care, Life, Annuity, Health
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| Financial Organization Memberships: |
Paladin Registry
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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 |
| Fee Structure: |
I am a fee-based financial professional
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| Minimum Portfolio Size for New Managed Accounts: |
$100,000
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| Compensation Methods: |
Commissions, Hourly, Based on Assets
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| Prepared By: |
Alan Costa |
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