Mark L. Lichtenfeld
Professional summary
Mark Laing Lichtenfeld, who also goes by Mark Lichtenfeld, is a registered financial advisor currently at TRANSCEND CAPITAL ADVISORS, LLC located in Madison, New Jersey.
Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Mark has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mark Laing Lichtenfeld's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 14, 2019 - Present
TRANSCEND CAPITAL ADVISORS, LLC
Office #1: 7 Giralda Farms Suite 300, Madison, NJ 07940January 9, 2019 - March 27, 2020
PURSHE KAPLAN STERLING INVESTMENTS
February 13, 2009 - January 21, 2019
UBS FINANCIAL SERVICES INC.
February 13, 2009 - January 21, 2019
UBS FINANCIAL SERVICES INC.
January 13, 2006 - March 9, 2009
CITIGROUP GLOBAL MARKETS INC.
January 13, 2006 - March 9, 2009
CITIGROUP GLOBAL MARKETS INC.
May 20, 2002 - January 27, 2006
RBC CAPITAL MARKETS, LLC
March 9, 2002 - January 27, 2006
RBC CAPITAL MARKETS, LLC
December 12, 1997 - March 9, 2002
TUCKER ANTHONY INCORPORATED
August 13, 1996 - December 15, 1997
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
TRANSCEND CAPITAL ADVISORS, LLC
CRD#: 299723 / SEC#: 801-114435
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/14/2019)
Exams
Current Firm
TRANSCEND CAPITAL ADVISORS, LLC
CRD#: 299723 / SEC#: 801-114435
Contact information
SEC notice filing (30 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,003 |
| AUM (Assets Under Management) | $ 3,099,629,575 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 02/17/2025 | ||
| 01/26/2024 | ||
| 11/28/2022 |
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.
