Randy L. Puckett

COSEY FINANCIAL SERVICES

Hendersonville, TN

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CRD#: 4973225

Professional summary

Randy Lynn Puckett is a registered financial advisor currently at COSEY FINANCIAL SERVICES, INC. located in Hendersonville, Tennessee.

Randy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Randy has worked at 4 firms and has passed the Series 66 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.

NAME: RANDY PUCKETT INV/REL: YES ADDR: 1011 Vista Court Hendersonville, TN 37075 NATURE: INSURANCE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randy Lynn Puckett's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 18, 2017 - Present

COSEY FINANCIAL SERVICES, INC.

RIA

CRD#: 140175

Hendersonville, TN

Past

April 10, 2013 - October 23, 2017

FINANCIAL PARTNERS GROUP, LLC

RIA

CRD#: 165856

GALLATIN, TN

Past

August 1, 2007 - February 25, 2013

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

GALLATIN, TN

Past

August 1, 2007 - February 25, 2013

MML INVESTORS SERVICES, LLC

CRD#: 10409

GALLATIN, TN

Past

October 10, 2005 - August 1, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NASHVILLE, TN

Past

August 11, 2005 - August 1, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NASHVILLE, 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".

COSEY FINANCIAL SERVICES, INC.

CRD#: 140175 / SEC#: 801-120768

RIA

Registered Investment Advisory firm - (4/9/2021 Approved)

Georgia

Registered Investment Advisory firm - (4/21/2021 Terminated)

North Carolina

Registered Investment Advisory firm - (4/13/2021 Terminated)

Tennessee

Registered Investment Advisory firm - (5/12/2021 Terminated)

Texas

Registered Investment Advisory firm - (4/12/2021 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Tennessee
(10/18/2017)

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 66

Date: 10/6/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 8/9/2005

General Securities Representative Examination

Current Firm

COSEY FINANCIAL SERVICES, INC.

CRD#: 140175 / SEC#: 801-120768

RIA

Registered Investment Advisory firm - (4/9/2021 Approved)

Georgia

Registered Investment Advisory firm - (4/21/2021 Terminated)

North Carolina

Registered Investment Advisory firm - (4/13/2021 Terminated)

Tennessee

Registered Investment Advisory firm - (5/12/2021 Terminated)

Texas

Registered Investment Advisory firm - (4/12/2021 Terminated)

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Contact information

Main Address

118 Huxley Rd Suite 5, Knoxville, TN 37922

Mailing Address

Phone number

(865) 470-4244

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE - COSEY FINANCIAL SERVICES (3/3/2025)

Regulatory assets under management

Total Number of Accounts	851
AUM (Assets Under Management)	$ 119,053,826

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.

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Randy L. Puckett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randy Lynn Puckett's CRS (Customer Relationship Summary).

Certified licenses

Experience

COSEY FINANCIAL SERVICES, INC.

FINANCIAL PARTNERS GROUP, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

COSEY FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/6/2005

Series 7

Date: 8/9/2005

Current Firm

COSEY FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COSEY FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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