John W. Cobb

Some features on this profile are disabled

CRD#: 49179

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John William Cobb, CFP® was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1971. John had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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. 12/19/2011: NO BUSINESS NAME - INV REL - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - NO TIME SPENT - AGENT: LIFE INSURANCE, FIXED ANNUITIES 2. 04/14/2015: JOHN W. COBB, CFP, AAMS, WEALTH MANAGEMENT ADVISOR - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV RLE - AT REPORTED BUSINESS LOCATION(S) - START 04/15/2015 - 160 HR/MO ALL DURING SECS TRDG HRS 3. 09/30/2015 - Caldwell Advisors, LLC - INV REL - 5214 Maryland Way, Suite 107, Brentwood, TN 37027 - Registered Investment Advisor Hybrid - START 04/17/2016 - 100 HOURS PER MONTH, 80 DURING TRADING - Provides financial plans and advice for hourly as well as fixed fees - ENDED 5/2019 4. 05/12/2016 * Non-Variable Insurance * inv rel * at reported business location(s) * start 04/14/2016 * 1 hr/mo during secs trdg hrs. 5. 10/15/2020 - Caldwell Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 10/01/2020 - 2 Hours Per Month/2 Hours During Securities Trading - I provide investment advisory services through Caldwell Advisors, LLC, an independent investment advisor firm. I started this business activity in 10/2020. I expect to spend approximately 2 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. 6. 08/05/2021 - Caldwell Group LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 10/01/2020 - 2 Hours Per Month/2 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1991

Experience

Past

August 6, 2020 - June 10, 2025

CALDWELL ADVISORS, LLC

RIA

CRD#: 144408

Brentwood, TN

Past

March 28, 2019 - December 7, 2020

VALUES BASED PLANNING, LLC

RIA

CRD#: 300235

BRENTWOOD, TN

Past

April 1, 2015 - May 7, 2019

CALDWELL ADVISORS, LLC

RIA

CRD#: 144408

BRENTWOOD, TN

Past

September 8, 2009 - June 10, 2025

LPL FINANCIAL LLC

CRD#: 6413

BRENTWOOD, TN

Past

April 12, 2004 - October 3, 2015

BEAM WEALTH ADVISORS, INC.

RIA

CRD#: 109867

BRENTWOOD, TN

Past

March 31, 1999 - September 8, 2009

MUTUAL SERVICE CORPORATION

CRD#: 4806

BRENTWOOD, TN

Past

September 3, 1996 - March 31, 1999

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

IRVINE, CA

Past

August 10, 1990 - August 2, 1996

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 10, 1990 - August 2, 1996

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

June 4, 1980 - August 13, 1990

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

IRVINE, CA

Past

March 3, 1977 - June 7, 1980

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

March 3, 1977 - June 7, 1980

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

March 3, 1977 - June 7, 1980

IDS LIFE INSURANCE COMPANY

CRD#: 6321

Past

July 19, 1971 - February 17, 1973

EQUITY FUNDING SECURITIES CORP

CRD#: 1000001

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".

CALDWELL ADVISORS, LLC

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/22/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/10/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/18/1984

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 2/22/1977

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/1/1997

General Securities Principal Examination

Current Firm

CALDWELL ADVISORS, LLC

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

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CALDWELL ADV 2A (7/30/2025)

CALDWELL WRAP BROCHURE (3/18/2025)

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John W. Cobb

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VALUES BASED PLANNING, LLC

CALDWELL ADVISORS, LLC

LPL FINANCIAL LLC

BEAM WEALTH ADVISORS, INC.

MUTUAL SERVICE CORPORATION

TITAN/VALUE EQUITIES GROUP, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

TITAN/VALUE EQUITIES GROUP, INC.

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

EQUITY FUNDING SECURITIES CORP

Primary Firm SEC Registration

CALDWELL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/22/1997

Series 63

Date: 1/10/1994

SIE

Date: 10/1/2018

Series 7

Date: 2/18/1984

Series 1

Date: 2/22/1977

Series 24

Date: 7/1/1997

Current Firm

CALDWELL ADVISORS, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CALDWELL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors