Shane A. Caldwell

TVAMP

Knoxville, TN 37919

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CRD#: 6119862

Professional summary

Shane Allen Caldwell, CFP® is a registered financial advisor currently at TVAMP, LLC located in Knoxville, Tennessee and LPL FINANCIAL LLC located in Morristown, Tennessee.

Shane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Shane has worked at 7 firms and has passed the Series 63, Series 65, 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shane Allen Caldwell'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®

CFP^®

Certified Financial Planner

Start date: 2015

Experience

Current

April 20, 2023 - Present

TVAMP, LLC

Office #1: 6025 Brookvale Lane Suite 160, Knoxville, TN 37919

RIA

CRD#: 160321

Knoxville, TN

Current

August 9, 2021 - Present

LPL FINANCIAL LLC

Office #1: 711 W 1st North St, Morristown, TN 37814

RIA

CRD#: 6413

MORRISTOWN, TN

Past

August 9, 2021 - December 22, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

KNOXVILLE, TN

Past

July 30, 2018 - August 10, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

JOHNSON CITY, TN

Past

July 30, 2018 - August 10, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

JOHNSON CITY, TN

Past

November 1, 2017 - July 20, 2018

CETERA WEALTH SERVICES, LLC

CRD#: 13572

ALPHARETTA, GA

Past

January 13, 2016 - November 1, 2017

GIRARD SECURITIES, INC.

CRD#: 18697

ALPHARETTA, GA

Past

November 13, 2015 - July 17, 2018

UNITED CAPITAL FINANCIAL ADVISORS

RIA

CRD#: 134600

Alpharetta, GA

Past

November 20, 2012 - March 2, 2015

RONALD BLUE & CO., LLC

RIA

CRD#: 104605

ATLANTA, GA

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".

TVAMP, LLC

BRIDGEWORKS DIVORCE FINANCIAL PLANNING | TVAMP, LLC | TVAMP | TENNESSEE VALLEY ASSET MANAGEMENT PARTNERS, LLC

CRD#: 160321 / SEC#: 801-96325

RIA

Registered Investment Advisory firm - (5/18/2015 Approved)

Florida

Registered Investment Advisory firm - (5/22/2015 Terminated)

Tennessee

Registered Investment Advisory firm - (5/29/2015 Terminated)

Texas

Registered Investment Advisory firm - (5/22/2015 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.

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

Alabama
(8/9/2024)

Alaska
(8/9/2024)

California
(8/23/2022)

Colorado
(8/9/2024)

Florida
(2/15/2024)

Georgia
(8/9/2021)

Indiana
(1/9/2024)

Kentucky
(8/9/2021)

Michigan
(8/9/2021)

North Carolina
(9/13/2021)

Ohio
(8/23/2024)

Oregon
(11/17/2025)

South Carolina
(3/5/2026)

Tennessee
(8/9/2021)

IAR

Tennessee
(4/20/2023)

Texas
(8/9/2021)

IAR

Texas
(9/25/2024)

Virginia
(8/9/2021)

Wisconsin
(8/9/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 1/27/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/19/2012

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/13/2016

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TVAMP, LLC

BRIDGEWORKS DIVORCE FINANCIAL PLANNING | TVAMP, LLC | TVAMP | TENNESSEE VALLEY ASSET MANAGEMENT PARTNERS, LLC

CRD#: 160321 / SEC#: 801-96325

RIA

Registered Investment Advisory firm - (5/18/2015 Approved)

Florida

Registered Investment Advisory firm - (5/22/2015 Terminated)

Tennessee

Registered Investment Advisory firm - (5/29/2015 Terminated)

Texas

Registered Investment Advisory firm - (5/22/2015 Terminated)

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Contact information

Main Address

6025 Brookvale Lane Suite 160, Knoxville, TN 37919

Mailing Address

Phone number

(865) 226-9982

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 APPENDIX 1 (9/5/2025)

ADV PART 2A (9/5/2025)

Regulatory assets under management

Total Number of Accounts	4,768
AUM (Assets Under Management)	$ 1,000,508,308

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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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Shane A. Caldwell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shane Allen Caldwell's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CETERA WEALTH SERVICES, LLC

GIRARD SECURITIES, INC.

UNITED CAPITAL FINANCIAL ADVISORS

RONALD BLUE & CO., LLC

Primary Firm SEC Registration

TVAMP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/27/2016

Series 65

Date: 11/19/2012

SIE

Date: 10/1/2018

Series 7

Date: 1/13/2016

FINRA

Current Firm

TVAMP, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TVAMP, LLC

TRUST BUT VERIFY

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