Mark Douglas Caldwell

Current Employers

Employment History

• 12/2007 → 10/2017
  National Planning Corporation
  San Antonio, TX
• 10/2017 → 10/2021
  Royal Alliance
  Bastrop, TX
• 06/2022 → Present
  Transce3Nd, Llc
  Kyle, TX
• 10/2021 → 07/2022
  Kalos Capital
  Alpharetta, GA
• 07/2022 → Present
  Madison Avenue Securities
  San Diego, CA

Previous Registrations

• 2021-10-04 → 2022-08-01
  Kalos Management
  Bastrop, TX
• 2017-10-16 → 2021-10-06
  Osaic Wealth, Inc.
  Bastrop, TX
  Scottsdale, AZ
• 2007-12-06 → 2017-10-18
  National Planning Corporation
  Hutto, TX
  El Segundo, CA
  Bastrop, TX
  Garland, TX
• 2004-03-01 → 2007-12-05
  American General Securities Incorporated
  San Antonio, TX
  San Antonio, TX
  San Antonio, TX

Other Businesses

1) E3 Wealth POSITION: Agent/Associate: NATURE: Sell and service fixe life insurance. LTC fixed annuities. . INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 10/2021; ADDRESS: 1106 Pecan St, Bastrop TX 78602, United States. 2) Name: Caldwell Investments LLC; Address: Bastrop, TX; Investment Related: No; Position: Managing Member; Duties: Accounting Purpose Only - Process my payroll and employment taxes; Hours Per Week: 1 Hour Per Week; Start Date: 9/28/2023. 3) Name: Transce3nd; Investment Related: Yes; Address: 835 Main St Bldg 200, Buda, TX 78610; Nature of the Business: Engage with potential and existing clients for suitable investment opportunities; Position: Investment Advisor Representative; Hours Per Week: 20 Hours; Start Date: 8/23/2022

Exams

• S66 Uniform Combined State Law Examination
  1997-10-10
• S63 Uniform Securities Agent State Law Examination
  1992-01-16

Designations