John Moriarty has been an investment adviser representative at Transce3nd since October 2022, and is not listed among the firm’s executive officers or direct owners. John Moriarty holds a Bachelor of Science in business administration from Saint Louis University.
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.
John E. Moriarty is Co-Founder & Managing Partner of e3 Wealth, based in St. Louis, Missouri. He has been an entrepreneur in the wealth management industry since 1995. He founded e3 ConsultantsGROUP in 2003 and started e3 Tax in 2012, and later joined forces with Joe Quartucci to create e3 Wealth as a stand-alone entity.
John Moriarty’s longest registration was 9 years at National Planning Corporation ("NPC of America" in FL & NY) (2007–2017). Before joining Transce3nd in 2022, John Moriarty was registered through Ae Wealth Management, LLC and Kalos Management.
- Ae Wealth Management, LLC– · under a yearKirkwood, MO · Adviser representative · Firm CRD 282580
- Kalos Management– · 5 yearsSunset Hills, MO · Adviser representative · Firm CRD 133025
- National Planning Corporation ("NPC of America" in FL & NY)– · 9 yearsCrystal City, MO · Adviser representative · Firm CRD 29604
- American General Securities Incorporated– · under a yearFestus, MO · Adviser representative · Firm CRD 13626
- Heartland Financial Advisors Group, Inc.– · under a yearSunset Hills, MO · Adviser representative · Firm CRD 116114
- American General Securities Incorporated– · 1 yearFestus, MO · Adviser representative · Firm CRD 13626
Investment adviser representative registrations
John Moriarty is registered as an investment adviser representative in 2 states. Each was approved in October 2022.
- MissouriSince 31 October 2022
- TexasSince 31 October 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 15 October 2007 |
| Series 7 | General Securities Representative Examination | 3 July 2006 |
| Series 22 | Direct Participation Programs Representative Examination | 18 June 2004 |
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 11 September 2000 |
| Series 65 | Uniform Investment Adviser Law Examination | 26 July 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 23 May 1996 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 23 May 1996 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Direct Participation Programs Representative Examination
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- John Edward Moriarty
- CRD
- 2720704
- Firm
- Transce3nd · CRD 317745
- Office
- 906 KIRKWOOD ROAD, Kirkwood, MO 63019
- Registration
- Investment adviser and broker registrations
- In the industry since
- May 1996
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- e3wealth.com
Where does John Moriarty work?
John Moriarty is an investment adviser representative registered through Transce3nd LLC since October 2022, and is not listed among the firm’s executive officers or direct owners.
Is John Moriarty a financial advisor?
Yes. John Moriarty has a current investment-adviser registration in Missouri and Texas, through Transce3nd since October 2022.
How many years of experience does John Moriarty have?
John Moriarty has 30 years in the financial industry, since May 1996, across 6 adviser firms.
What exams has John Moriarty passed?
John Moriarty has passed 7 licensing exams: the Series 63, Series 6, Series 65, Series 26, Series 22, Series 7 and Series 24. The earliest, the Series 63, was passed in May 1996. FINRA credited John Moriarty with the SIE, which began in October 2018.
Where did John Moriarty work before Transce3nd?
Before Transce3nd, John Moriarty was registered through Transce3nd, LLC, July 2022 to July 2022; Kalos Management, July 2017 to August 2022; National Planning Corporation ("NPC of America" in FL & NY), October 2007 to July 2017; American General Securities Incorporated, March 2007 to October 2007; Heartland Financial Advisors Group, Inc., May 2004 to December 2004; American General Securities Incorporated, December 2002 to May 2004.
Where is John Moriarty based?
John Moriarty’s registered office is in Kirkwood, MO.
Is John Moriarty registered with FINRA?
Yes. John Moriarty has a current broker registration, under CRD 2720704.
Source: FINRA BrokerCheck
How can I verify John Moriarty’s record?
Search CRD 2720704 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish John Moriarty’s full registration record.
