AZ
Aaron A. Zauner
CALDWELL ADVISORS
Brentwood, TN 37027
Some features on this profile are disabled
CRD#: 4904878
AZ
Professional summary
Aaron Alan Zauner is a registered financial advisor currently at CALDWELL ADVISORS, LLC located in Brentwood, Tennessee and LPL FINANCIAL LLC located in Brentwood, Tennessee.
Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Aaron has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 5/26/2021 - Caldwell Group, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/26/2021 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 2. 6/9/2021 - Caldwell Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 05/26/2021 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Caldwell Advisors, LLC, an independent investment advisor firm. I started this business activity in 05/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 6/29/2021 - Caldwell Advisors, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 5/26/2021 - 160 Hours Per Month/100 Hours During Securities Trading 4. 07/07/2023 - Brentwood Middle School - Not Investment Related - Brentwood, TN - Outside/W-2 Employment - Assistant Football Coach - Start Date 07/17/2023 - 8 Hours Per Month/ 0 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Aaron Alan Zauner's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 28, 2021 - Present
CALDWELL ADVISORS, LLC
Office #1: 5210 Maryland Way Ste 202, Brentwood, TN 37027RIA
CRD#: 144408
Brentwood, TN
Current
May 27, 2021 - Present
LPL FINANCIAL LLC
Office #1: 5210 Maryland Way Suite 202, Brentwood, TN 37027RIA
BD
CRD#: 6413
Brentwood, TN
Past
July 13, 2018 - May 28, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
BOSTON, MA
Past
July 30, 2007 - July 13, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
FRANKLIN, TN
Past
July 6, 2007 - May 27, 2021
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
FRANKLIN, TN
Past
June 9, 2005 - June 14, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
FRANKLIN, TN
Past
June 9, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 9, 2005 - June 14, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
FRANKLIN, TN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CA
CALDWELL ADVISORS, LLC
AARON ZAUNER | SCHILLING INVESTMENT CONSULTANTS, LLC | RYAN K. SNOVER/RIVERROCK CAPITAL GROUP, LLC | JOHN W. COBB/VALUES BASED PLANNING, LLC | JOHN COBB | DAVID STEINFELD | CALDWELL ADVISORS, LLC | BEVERLY O. DAVIS | BENTLEY LONDON | ALAN A. COSTA / THE HARPETH FINANCIAL GROUP
CRD#: 144408 / SEC#: 801-106730
RIA
Registered Investment Advisory firm - (11/18/2015 Approved)Tennessee
Registered Investment Advisory firm - (1/11/2016 Terminated)Texas
Registered Investment Advisory firm - (1/8/2016 Terminated)Virginia
Registered Investment Advisory firm - (12/10/2013 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/2/2021)
RR
Georgia(9/22/2025)
RR
Kentucky(5/27/2021)
RR
Mississippi(5/27/2021)
RR
North Carolina(1/25/2024)
RR
Tennessee(5/27/2021)
IAR
Tennessee(5/28/2021)
RR
Utah(9/11/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CALDWELL ADVISORS, LLC
AARON ZAUNER | SCHILLING INVESTMENT CONSULTANTS, LLC | RYAN K. SNOVER/RIVERROCK CAPITAL GROUP, LLC | JOHN W. COBB/VALUES BASED PLANNING, LLC | JOHN COBB | DAVID STEINFELD | CALDWELL ADVISORS, LLC | BEVERLY O. DAVIS | BENTLEY LONDON | ALAN A. COSTA / THE HARPETH FINANCIAL GROUP
CRD#: 144408 / SEC#: 801-106730
RIA
Registered Investment Advisory firm - (11/18/2015 Approved)Tennessee
Registered Investment Advisory firm - (1/11/2016 Terminated)Texas
Registered Investment Advisory firm - (1/8/2016 Terminated)Virginia
Registered Investment Advisory firm - (12/10/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5210 Maryland Way Ste 202, Brentwood, TN 37027
Mailing Address
Phone number
(615) 370-8988
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 493 |
| AUM (Assets Under Management) | $ 339,088,296 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
