Alan A. Costa

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CRD#: 54794

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.

Alan Arthur Costa was a registered financial professional .

Alan is a previously registered financial professional and started their career in finance in 1972. Alan had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1, Series 24 and Series 26 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.

The advisor shows no other business activity.

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®

None

Experience

Past

October 2, 2014 - September 14, 2021

CALDWELL ADVISORS, LLC

RIA

CRD#: 144408

NASHVILLE, TN

Past

September 2, 2004 - October 30, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

BRENTWOOD, TN

Past

September 1, 2004 - July 6, 2021

LPL FINANCIAL LLC

CRD#: 6413

BRENTWOOD, TN

Past

March 17, 2004 - September 15, 2004

OSAIC FA, INC.

RIA

CRD#: 3978

NASHVILLE, TN

Past

February 22, 2002 - September 15, 2004

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

February 22, 2002 - September 15, 2004

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

June 7, 1999 - March 5, 2002

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

February 9, 1982 - May 18, 1999

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

June 26, 1972 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

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: 9/25/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/1/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 6/20/1972

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/12/2004

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 2/26/1993

Investment Company Products/Variable Contracts 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)

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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

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.

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Advisor Monitoring

Firm Stability Insights

Alan A. Costa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

HORNOR, TOWNSEND & KENT, LLC

PRUCO SECURITIES, LLC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

Primary Firm SEC Registration

CALDWELL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/1996

Series 63

Date: 10/1/1982

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 6/20/1972

Series 24

Date: 10/12/2004

Series 26

Date: 2/26/1993

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

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