Shane Allen Caldwell

Current Employers

Employment History

• 10/2015 → 07/2018
  United Capital Financial Advisers, Llc
  Newport Beach, CA
• 11/2015 → 11/2017
  Girard Securities
  Alpharetta, GA
• 11/2017 → 07/2018
  Cetera Advisor Networks Llc
  El Segundo, CA
• 07/2018 → 08/2021
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Johnson City, TN
• 09/2018 → 08/2021
  Bank Of America, N.A.
  Johnson City, TN
• 08/2021 → 03/2023
  Bank Of Tennessee
  Jonesborough, TN
• 08/2021 → Present
  Lpl Financial Llc
  Jonesborough, TN
• 04/2023 → Present
  Tvamp
  Knoxville, TN
• 04/2023 → Present
  Tennessee Brokerage Agency
  Knoxville, TN

Previous Registrations

• 2018-07-30 → 2021-08-10
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Johnson City, TN
• 2015-11-13 → 2018-07-17
  United Capital Financial Advisors
  Alpharetta, GA
• 2012-11-20 → 2015-03-02
  Ronald Blue & Co., Llc
  Atlanta, GA

Other Businesses

1) 05/09/2023 - TVAMP - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date 05/03/2023 - 160 Hours Per Month/140 Hours During Securities Trading - I provide investment advisory services through TVAMP an independent investment advisor firm. I started this business activity in 5/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, nature of its business, its owners and its services at http://www.adviserinfo.sec.gov/IAPD. This firm is separate and independent of LPL Financial. 3) 06/13/2023 - TENNESSEE BROKERAGE AGENCY - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date 05/03/2023 - 5 Hours Per Month/ 4 Hours During Securities Trading

Exams

• S63 Uniform Securities Agent State Law Examination
  2016-01-27
• S65 Uniform Investment Adviser Law Examination
  2012-11-19

Designations