Aaron Alan Zauner

Current Employers

Employment History

• 06/2007 → 05/2021
  Fidelity Investments
  Franklin, TN
• 05/2021 → Present
  Lpl Financial Llc
  Brentwood, TN
• 05/2021 → Present
  Caldwell Advisors, Llc
  Brentwood, TN

Previous Registrations

• 2018-07-13 → 2021-05-28
  Fidelity Personal And Workplace Advisors
  Boston, MA
• 2007-07-30 → 2018-07-13
  Strategic Advisers Llc
  Franklin, TN
• 2005-06-09 → 2007-06-14
  Ameriprise Financial Services, Llc
  Franklin, TN
  Nashville, TN
  Franklin, TN

Other Businesses

1. 5/26/2021 - Caldwell Group, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/26/2021 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 2. 6/9/2021 - Caldwell Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 05/26/2021 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Caldwell Advisors, LLC, an independent investment advisor firm. I started this business activity in 05/2021. 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, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 6/29/2021 - Caldwell Advisors, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 5/26/2021 - 160 Hours Per Month/100 Hours During Securities Trading 4. 07/07/2023 - Brentwood Middle School - Not Investment Related - Brentwood, TN - Outside/W-2 Employment - Assistant Football Coach - Start Date 07/17/2023 - 8 Hours Per Month/ 0 Hours During Trading

Exams

• S66 Uniform Combined State Law Examination
  2005-05-17