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.

General Information

Gender:

Male

CRD#:

54794

Name of Broker/Dealer:

LPL Financial

States Licensed in:

TN KY AL MI WY

States Willing to do Business in:

TN AL KY

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Businesses, Non-Profit Organizations, Individual Investors

Education

Academic Background

BS, Commerce - University of Virginia (1967)

Services

Investment Types:

Exchange Traded Funds (ETFs), Alternative Investments, Bonds, Stocks, Annuities, Insurance, Mutual Funds, Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

Insurance License (Life & Health; Long Term Care; Specify below), Certified Divorce Financial Analyst(CDFA), Chartered Life Underwriter (CLU®)

Securities Licenses:

Series 66, Series 7, Series 24

Insurance and Annuity Licenses:

Variable Life, Disability, Variable Annuity, Long Term Care, Life, Annuity, Health

Financial Organization Memberships:

Paladin Registry

Firm Information

Number of Advisors in Office:

Up to 10 employees

Assets Managed by Firm:

Yes

Compliance

Registered Representative:

Yes

Investment Advisor Representative:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

Fee Structure:

I am a fee-based financial professional

Minimum Portfolio Size for New Managed Accounts:

50000

Compensation Methods:

Commissions, Hourly, Based on Assets

Fee % Based on Assets:

Hourly Rate:

$150

Prepared By:

Alan Costa