JM
John E. Moriarty
TRANSCE3ND LLC
KIRKWOOD, MO 63019
Some features on this profile are disabled
CRD#: 2720704
JM
Professional summary
John Edward Moriarty, CPWA® is a registered financial advisor currently at TRANSCE3ND LLC located in Kirkwood, Missouri and MADISON AVENUE SECURITIES, LLC located in Buda, Texas.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. John has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 24 and Series 26 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) JOHN E. MORIARTY & ASSOCIATES LLC- Owner, PRESIDENT, and Member since 1/2006--- 906 South Kirkwood Road, Kirkwood, MO 63122- Entity used for bookkeeping purposes. 2) E3 Wealth, LLC - Member since 1/2014- 906 South Kirkwood Road, Kirkwood, MO 63122--- .Commonly owned entity and name used to market the advisory business conducted under TE3 used for the insurance and broker-dealer affiliated business. Uses DBA name E3 Consultants. 30 Hours Total, 25 during Trading hours 3)E3 Tax, LLC (dba e3 Family Office, e3 Capital - Filed in the state of Missouri) - 906 S. Kirkwood Rd., St. Louis, MO 63122 - firm providing accounting, bookkeeping, income tax preparation, business consulting and due diligence resource in a family office model format. - Founder/Owner, Manage Vision/Growth of the Company - Duties: President. Daily Duties involve client communication and managing overall profitability of the company - Hours Per Week: 20 Hours; Start Date: 01/2012 4) e3 CPA Group, LLC - Dormant Entity- Previous Member and Minority Owner since 1/2013--- 906 South Kirkwood Road, Kirkwood, MO 63122 5) THE JOHN & ELLEN MORIARTY FAMILY FOUNDATION, 236 E. SWON AVE ST LOUIS MO 63119, PRESIDENT - BOARD OF DIRECTORS, 4/1/2013, 1 HOURS TOTAL, 1 DURING TRADING HOURS, private non-profit, 501c3 family foundation organization 6) e3 Real Estate LLC, Owner, and Member since 1/2015 906 South Kirkwood Road, Kirkwood, MO 63122, President, 6/1/2016, 4 hours total, 4 during trading hours, Consulting, private partnership that invests in real estate, restaurants, and private operating businesses 7) E3-CONSULTANTS GROUP LLC-President and MEMBER since 1/2003- 906 South Kirkwood Road, Kirkwood, MO 63122 - Insurance. 8) Entrepreneurs Organization (EO) - Member since 2011 - Organization designed to assist entrepreneurs with the growth of their business. 4 Hours Total. No Compensation 9) Distinguished Intellectual Consortium (aka Diversified Investment Club) - Member since 2009- Investment Club - No solicitation by me. Pooled investment decisions handled by a third party. 1 hour total. 10) Olive and Oak, LLC -member since 2016-Passive Investor in Restaurant. 1 hour total 11) MADISON AVENUE SECURITIES: YES INVESTMENT RELATED; 13500 EVENING CREEK DRIVE N SUITE 555, SAN DIEGO CA 92128; SECURITIES SALES; REGISTERED REPRESENTATIVE; START DATE 07/2022. 12) TRANSCE3ND: POSITION: Owner/Partner and Investment Adviser Representative: Investment Related: Yes; NATURE: Registered Investment Adviser firm. INV RELATED: No # OF HRS: 5 a week: START DATE: 11/2022: ADDRESS: 835 Main Street, Building #2, Buda, TX 78610: DUTIES: Offer services of RIA to clients. 13) John Moriarty POA for Christine A. Moriarty: POSITION: Power of Attorney for Mothers Trust : Investment Related: No; INV RELATED: No # OF HRS: 2 a week: START DATE: 1/2019: ADDRESS: St. Louis, MO: DUTIES: POA for all financial matters related to mother, Christine Moriarty. 14) Name: MQT, LLC; Address: Kyle, Texas; Investment Related: No; Position: Partner; Duties: Passive Investor - Holds Real Estate to be developed into an office building; Hours Per Week: Less than 1 hour per week; Start Date: 7/1/2022. 15) Name: Transcend, LLC; Address: 906 S Kirkwood Rd, St. Louis, MO 63122; Investment Related: Yes; Position: Investment Advisor Representative; Duties: Investment management and portfolio allocation; Hours Per Week: 5 Hours; Start Date: 1/1/2023. 16.) MP Enterprises, LLC; Investment Related: No; Address: Meydan Grandstand, 6th Floor Meydan Road, Nad Alsheba, Dubai UAE; Nature of the Business: Represent business establishment in the United States that are doing business in the UAE. Provide business advisory and tax consulting to these business entities; Position: Manager and Sole Owner of this entity; Start Date: 4/1/2025.
CRS (Client Relationship Summary) - RIA
Click below to view John Edward Moriarty'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®
CPWA®
Start date: 2018-10-15
Expire date: 2024-09-30
Experience
Current
October 31, 2022 - Present
TRANSCE3ND LLC
Office #1: 906 Kirkwood Road, Kirkwood, MO 63019RIA
CRD#: 317745
KIRKWOOD, MO
Current
July 29, 2022 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 835 Main Street, Building #200, Buda, TX 78610Office #2: 906 S. Kirkwood Rd, Kirkwood, Kirkwood, MO 63122Office #3: 1106 Pecan St., Bastrop, TX 78602RIA
BD
CRD#: 23224
Buda, TX
Past
July 29, 2022 - February 2, 2023
AE WEALTH MANAGEMENT, LLC
RIA
CRD#: 282580
Kirkwood, MO
Past
July 1, 2022 - July 13, 2022
TRANSCE3ND LLC
RIA
CRD#: 317745
KYLE, TX
Past
July 7, 2017 - August 1, 2022
KALOS MANAGEMENT
RIA
CRD#: 133025
Sunset Hills, MO
Past
July 7, 2017 - August 1, 2022
KALOS CAPITAL, INC.
BD
CRD#: 44337
Kirkwood, MO
Past
October 22, 2007 - July 12, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
CRYSTAL CITY, MO
Past
October 22, 2007 - July 12, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
CRYSTAL CITY, MO
Past
March 1, 2007 - October 23, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
RIA
CRD#: 13626
FESTUS, MO
Past
May 24, 2004 - December 31, 2004
HEARTLAND FINANCIAL ADVISORS GROUP, INC.
RIA
CRD#: 116114
SUNSET HILLS, MO
Past
December 5, 2002 - May 3, 2004
AMERICAN GENERAL SECURITIES INCORPORATED
RIA
CRD#: 13626
FESTUS, MO
Past
October 1, 2002 - October 23, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
FESTUS, MO
Past
May 24, 1996 - October 1, 2002
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, 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
Alabama(7/29/2022)
RR
Alaska(7/29/2022)
RR
Arizona(7/29/2022)
RR
Arkansas(7/29/2022)
RR
California(7/29/2022)
RR
Colorado(7/29/2022)
RR
Connecticut(7/29/2022)
RR
Delaware(7/29/2022)
RR
District of Columbia(7/29/2022)
RR
Florida(7/29/2022)
RR
Georgia(7/29/2022)
RR
Hawaii(7/29/2022)
RR
Idaho(7/29/2022)
RR
Illinois(7/29/2022)
RR
Indiana(7/29/2022)
RR
Iowa(7/29/2022)
RR
Kansas(7/29/2022)
RR
Kentucky(7/29/2022)
RR
Louisiana(11/27/2024)
RR
Maryland(7/29/2022)
RR
Massachusetts(7/29/2022)
RR
Michigan(7/29/2022)
RR
Minnesota(7/29/2022)
RR
Missouri(7/29/2022)
IAR
Missouri(10/31/2022)
RR
Montana(7/29/2022)
RR
Nebraska(7/29/2022)
RR
Nevada(7/29/2022)
RR
New Jersey(7/29/2022)
RR
New Mexico(7/29/2022)
RR
New York(7/29/2022)
RR
North Carolina(11/6/2024)
RR
North Dakota(7/29/2022)
RR
Ohio(7/29/2022)
RR
Oklahoma(7/29/2022)
RR
Oregon(7/29/2022)
RR
Pennsylvania(7/29/2022)
RR
South Carolina(7/29/2022)
RR
South Dakota(7/29/2022)
RR
Tennessee(7/29/2022)
RR
Texas(7/29/2022)
IAR
Texas(10/31/2022)
RR
Utah(7/29/2022)
RR
Virginia(7/29/2022)
RR
Washington(7/29/2022)
RR
Wisconsin(7/29/2022)
RR
Wyoming(12/10/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
