John Mattingly has been President of Transce3nd since March 2024, is a control person of the firm and directly owns under 5% of it.
Transce3nd LLC is a Buda, TX firm with $419M under management, 1,620 clients and 42 advisers across 17 offices, as of its May 2026 filing.
No adviser firm registrations are on John Mattingly’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 4 | Registered Options Principal Examination | 25 March 2002 |
| Series 24 | General Securities Principal Examination | 22 February 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 14 June 1999 |
| Series 7 | General Securities Representative Examination | 5 May 1999 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- John Tyler Mattingly
- CRD
- 3102165
- Firm
- Transce3nd · CRD 317745
- Role
- President
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does John Mattingly work?
John Mattingly has been President of Transce3nd LLC since March 2024, and is a control person of the firm.
Does John Mattingly have a current investment-adviser registration?
John Mattingly has a current broker registration and no current investment-adviser registration.
What exams has John Mattingly passed?
John Mattingly has passed 5 licensing exams: the Series 7, Series 63, Series 24, Series 4 and Series 99TO. The earliest, the Series 7, was passed in May 1999. FINRA credited John Mattingly with the SIE, which began in October 2018.
Is John Mattingly registered with FINRA?
Yes. John Mattingly has a current broker registration, under CRD 3102165.
Source: FINRA BrokerCheck
How can I verify John Mattingly’s record?
Search CRD 3102165 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish John Mattingly’s full registration record.
