MC
Mark D. Caldwell
TRANSCE3ND LLC
BUDA, TX 78610
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CRD#: 2202238
MC
Professional summary
Mark Douglas Caldwell, CFP® is a registered financial advisor currently at TRANSCE3ND LLC located in Buda, Texas and MADISON AVENUE SECURITIES, LLC located in Bastrop, Texas.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Mark has worked at 9 firms and has passed the Series 66, Series 63, Series 52TO, Series 6TO, SIE, Series 7 and Series 24 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.
1) E3 Wealth POSITION: Agent/Associate: NATURE: Sell and service fixe life insurance. LTC fixed annuities. . INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 10/2021; ADDRESS: 1106 Pecan St, Bastrop TX 78602, United States. 2) Name: Caldwell Investments LLC; Address: Bastrop, TX; Investment Related: No; Position: Managing Member; Duties: Accounting Purpose Only - Process my payroll and employment taxes; Hours Per Week: 1 Hour Per Week; Start Date: 9/28/2023. 3) Name: Transce3nd; Investment Related: Yes; Address: 835 Main St Bldg 200, Buda, TX 78610; Nature of the Business: Engage with potential and existing clients for suitable investment opportunities; Position: Investment Advisor Representative; Hours Per Week: 20 Hours; Start Date: 8/23/2022
CRS (Client Relationship Summary) - RIA
Click below to view Mark Douglas 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®
Start date: 2006
Experience
Current
July 1, 2022 - Present
TRANSCE3ND LLC
Office #1: 835 Main Street Building 200, Buda, TX 78610RIA
CRD#: 317745
BUDA, TX
Current
July 31, 2022 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 1106 Pecan St., Bastrop, TX 78602RIA
BD
CRD#: 23224
Bastrop, TX
Past
October 4, 2021 - August 1, 2022
KALOS MANAGEMENT
RIA
CRD#: 133025
Bastrop, TX
Past
October 4, 2021 - August 1, 2022
KALOS CAPITAL, INC.
BD
CRD#: 44337
Bastrop, TX
Past
October 16, 2017 - October 6, 2021
OSAIC WEALTH, INC.
RIA
CRD#: 23131
BASTROP, TX
Past
October 16, 2017 - October 6, 2021
OSAIC WEALTH, INC.
BD
CRD#: 23131
BASTROP, TX
Past
December 6, 2007 - October 18, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
BASTROP, TX
Past
December 6, 2007 - October 18, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
BASTROP, TX
Past
March 1, 2004 - December 5, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
RIA
CRD#: 13626
SAN ANTONIO, TX
Past
October 1, 2002 - December 5, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
SAN ANTONIO, TX
Past
October 6, 1997 - October 1, 2002
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
Past
January 7, 1992 - December 7, 1992
MOMENTUM INDEPENDENT NETWORK INC.
BD
CRD#: 17587
DALLAS, TX
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".
TL
TRANSCE3ND LLC
ADVANCED PLANNING SOLUTIONS, LLC | WEALTH STRATEGIES ADVISORY GROUP, LLC | TRANSCE3ND, LLC | TRANSCE3ND LLC | THE RICKS GROUP | SUREFIRE FINANCIAL, INC. | SUMMIT TAX AND WEALTH ADVISORY, LLC | MUNOZ FINANCIAL LLC | MUNDT WEALTH MANAGEMENT | GREENWAY FINANCIAL GROUP | FINE FUTURE FINANCIAL | E3 WEALTH | E3 RETIREMENT SELECT | E3 CONSULTANTS GROUP | ALEXANDER FINANCIAL MANAGEMENT, LLC
CRD#: 317745 / SEC#: 801-126674
RIA
Registered Investment Advisory firm - (9/30/2022 Approved)Texas
Registered Investment Advisory firm - (10/3/2022 Terminated)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.RR
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
RR
Florida(7/31/2022)
RR
Ohio(8/1/2022)
IAR
Texas(7/1/2022)
RR
Texas(7/31/2022)
RR
Washington(7/31/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TL
TRANSCE3ND LLC
ADVANCED PLANNING SOLUTIONS, LLC | WEALTH STRATEGIES ADVISORY GROUP, LLC | TRANSCE3ND, LLC | TRANSCE3ND LLC | THE RICKS GROUP | SUREFIRE FINANCIAL, INC. | SUMMIT TAX AND WEALTH ADVISORY, LLC | MUNOZ FINANCIAL LLC | MUNDT WEALTH MANAGEMENT | GREENWAY FINANCIAL GROUP | FINE FUTURE FINANCIAL | E3 WEALTH | E3 RETIREMENT SELECT | E3 CONSULTANTS GROUP | ALEXANDER FINANCIAL MANAGEMENT, LLC
CRD#: 317745 / SEC#: 801-126674
RIA
Registered Investment Advisory firm - (9/30/2022 Approved)Texas
Registered Investment Advisory firm - (10/3/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
835 Main Street Building 200, Buda, TX 78610
Mailing Address
Phone number
(512) 268-9220
Established
Firm type
Fiscal year end
# of Employees
41
SEC notice filing (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,518 |
| AUM (Assets Under Management) | $ 361,954,267 |
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.
