Mark A. Caldwell

BREX TREASURY LLC

Salt Lake City, UT 84101-2380

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CRD#: 5342948

Professional summary

Mark A Caldwell, who also goes by Mark Aaron Caldwell, is a registered financial professional currently at BREX TREASURY LLC located in Salt Lake City, Utah.

Mark is registered as a RR (Registered Representative) and started their career in finance in 2007. Mark has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mark Aaron Caldwell

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark A 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®

None

Experience

Current

January 7, 2020 - Present

BREX TREASURY LLC

Office #1: 650 South 500 West, Suite 300, Salt Lake City, UT 84101-2380

CRD#: 299606

Salt Lake City, UT

Past

February 4, 2011 - January 31, 2020

GOLDMAN SACHS & CO. LLC

CRD#: 361

SALT LAKE CITY, UT

Past

January 18, 2008 - November 24, 2010

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SALT LAKE CITY, UT

Past

September 13, 2007 - December 3, 2007

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

SALT LAKE CITY, UT

Past

July 10, 2007 - December 3, 2007

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SALT LAKE CITY, UT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(1/7/2020)

Alaska
(1/7/2020)

Arizona
(1/7/2020)

Arkansas
(1/7/2020)

California
(1/7/2020)

Colorado
(1/7/2020)

Connecticut
(1/7/2020)

Delaware
(1/7/2020)

District of Columbia
(1/7/2020)

Florida
(1/22/2020)

Georgia
(1/7/2020)

Hawaii
(1/7/2020)

Idaho
(1/7/2020)

Illinois
(1/7/2020)

Indiana
(1/7/2020)

Iowa
(1/7/2020)

Kansas
(1/7/2020)

Kentucky
(1/7/2020)

Louisiana
(1/7/2020)

Maine
(1/7/2020)

Maryland
(1/7/2020)

Massachusetts
(1/7/2020)

Michigan
(1/7/2020)

Minnesota
(1/7/2020)

Mississippi
(1/7/2020)

Missouri
(1/7/2020)

Montana
(1/7/2020)

Nebraska
(1/7/2020)

Nevada
(1/7/2020)

New Hampshire
(1/7/2020)

New Jersey
(1/7/2020)

New Mexico
(1/7/2020)

New York
(1/7/2020)

North Carolina
(1/7/2020)

North Dakota
(1/7/2020)

Ohio
(1/8/2020)

Oklahoma
(1/7/2020)

Oregon
(1/7/2020)

Pennsylvania
(1/7/2020)

Puerto Rico
(1/31/2024)

Rhode Island
(1/7/2020)

South Carolina
(1/7/2020)

South Dakota
(1/7/2020)

Tennessee
(1/31/2024)

Texas
(1/7/2020)

Utah
(1/7/2020)

Vermont
(1/7/2020)

Virginia
(1/7/2020)

Washington
(1/7/2020)

West Virginia
(1/7/2020)

Wisconsin
(1/7/2020)

Wyoming
(1/7/2020)

Exams

State Security Law Exam

IAR

Series 66

Date: 9/12/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/9/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/11/2022

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BREX TREASURY LLC

CRD#: 299606 / SEC#: , 8-70251

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

650 South 500 West Suite 300, Salt Lake City, UT 84101-2380

Mailing Address

650 South 500 West Suite 300, Salt Lake City, UT 84101-2380

Phone number

(551) 284-3958

Established

Delaware since 11/01/2018

Firm type

Limited Liability Company

Fiscal year end

January

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BREX INC.	PARENT COMPANY
BROWN, JASON	CHIEF COMPLIANCE OFFICER	2794246
MOORE, KEVIN RICHARD	CHIEF FINANCIAL OFFICER	7192007
ZHOU, ERIK	PRESIDENT, PRINCIPAL OF OPERATIONS, PFO	5166236

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Mark A. Caldwell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark A Caldwell's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOLDMAN SACHS & CO. LLC

FIDELITY BROKERAGE SERVICES LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/12/2007

SIE

Date: 10/1/2018

Series 7

Date: 7/9/2007

Series 24

Date: 10/11/2022

FINRA

Current Firm

BREX TREASURY LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BREX TREASURY LLC

TRUST BUT VERIFY

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