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:

Individual Investors, Non-Profit Organizations, Businesses

Education

Academic Background

BS, Commerce - University of Virginia (1967)

Services

Investment Types:

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

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)

Securities Licenses:

Series 24, Series 7, Series 66

Insurance and Annuity Licenses:

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

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

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$25,000

Compensation Methods:

Hourly, Based on Assets, Commissions

Fee % Based on Assets:

Hourly Rate:

$150

Prepared By:

Alan Costa