Alan T. Caldwell

ON TRACK TO RETIRE LLC

Nashville, TN

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CRD#: 7169049

Professional summary

Alan Thomas Caldwell, CFP®, who also goes by Alan T Caldwell, Alan Caldwell, is a registered financial advisor currently at ON TRACK TO RETIRE LLC located in Nashville, Tennessee.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Alan has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alan T Caldwell | Alan Caldwell

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 Alan Thomas Caldwell'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®

CFP^®

Certified Financial Planner

Experience

Current

September 9, 2019 - Present

ON TRACK TO RETIRE LLC

RIA

CRD#: 305302

Nashville, TN

Past

September 2, 2021 - March 3, 2023

ORIGIN INVESTMENT ADVISORY LLC

RIA

CRD#: 305353

Nashville, TN

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

Illinois
(9/9/2019)

IAR

Michigan
(12/13/2023)

IAR

Texas
(1/12/2023)

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: 9/12/2018

Uniform Investment Adviser Law Examination

Current Firm

ON TRACK TO RETIRE LLC

CRD#: 305302 / SEC#:

Illinois

Registered Investment Advisory firm - (9/9/2019 Approved)

Michigan

Registered Investment Advisory firm - (11/2/2023 Approved)

Tennessee

Registered Investment Advisory firm - (11/20/2023 Terminated)

Texas

Registered Investment Advisory firm - (1/10/2023 Conditional Restricted)

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).

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Contact information

Main Address

Livonia, MI

Mailing Address

Phone number

(734) 437-4901

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Alan T. Caldwell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Thomas Caldwell's CRS (Customer Relationship Summary).

Certified licenses

Experience

ON TRACK TO RETIRE LLC

ORIGIN INVESTMENT ADVISORY LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/12/2018

Current Firm

ON TRACK TO RETIRE LLC

Contact information

Documents

Red Flags

Company Information

ON TRACK TO RETIRE LLC

TRUST BUT VERIFY

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