Mark Caldwell has been an investment adviser representative at Transce3nd since July 2022, and is not listed among the firm’s executive officers or direct owners.
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.
Mark Caldwell is Private Wealth Advisor of e3 Wealth, based in Bastrop, Texas. He draws on years of experience in banking and finance and began helping individuals and families with comprehensive financial planning more than a decade ago. He also helps clients with strategies for securing the future of their businesses.
Mark Caldwell’s longest registration was 9 years at National Planning Corporation ("NPC of America" in FL & NY) (2007–2017). Before joining Transce3nd in 2022, Mark Caldwell was registered through Kalos Management and Royal Alliance Associates, Inc.
- Kalos Management– · under a yearBastrop, TX · Adviser representative · Firm CRD 133025
- Royal Alliance Associates, Inc.– · 3 yearsBastrop, TX · Adviser representative · Firm CRD 23131
- National Planning Corporation ("NPC of America" in FL & NY)– · 9 yearsBastrop, TX · Adviser representative · Firm CRD 29604
- American General Securities Incorporated– · 3 yearsSan Antonio, TX · Adviser representative · Firm CRD 13626
Investment adviser representative registrations
Mark Caldwell is registered as an investment adviser representative in Texas, since July 2022.
- TexasSince 1 July 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| Series 6TO | Investment Company Products/Variable Contracts Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 15 August 2007 |
| Series 66 | Uniform Combined State Law Examination | 10 October 1997 |
| Series 7 | General Securities Representative Examination | 3 October 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 16 January 1992 |
- Name
- Municipal Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Mark Douglas Caldwell
- CRD
- 2202238
- Firm
- Transce3nd · CRD 317745
- Office
- 835 MAIN STREET, BUILDING 200, Buda, TX 78610
- Registration
- Investment adviser and broker registrations
- In the industry since
- November 1996
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- e3wealth.com
Where does Mark Caldwell work?
Mark Caldwell is an investment adviser representative registered through Transce3nd LLC since July 2022, and is not listed among the firm’s executive officers or direct owners.
Is Mark Caldwell a financial advisor?
Yes. Mark Caldwell has a current investment-adviser registration in Texas, through Transce3nd since July 2022.
How many years of experience does Mark Caldwell have?
Mark Caldwell has 29 years in the financial industry, since November 1996, across 5 adviser firms.
What exams has Mark Caldwell passed?
Mark Caldwell has passed 6 licensing exams: the Series 63, Series 7, Series 66, Series 24, Series 52TO and Series 6TO. The earliest, the Series 63, was passed in January 1992. FINRA credited Mark Caldwell with the SIE, which began in October 2018.
Where did Mark Caldwell work before Transce3nd?
Before Transce3nd, Mark Caldwell was registered through Royal Alliance Associates, Inc., October 2017 to October 2021; National Planning Corporation ("NPC of America" in FL & NY), December 2007 to October 2017; American General Securities Incorporated, March 2004 to December 2007.
Where is Mark Caldwell based?
Mark Caldwell’s registered office is in Buda, TX.
Is Mark Caldwell registered with FINRA?
Yes. Mark Caldwell has a current broker registration, under CRD 2202238.
Source: FINRA BrokerCheck
How can I verify Mark Caldwell’s record?
Search CRD 2202238 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Mark Caldwell’s full registration record.
