Mark Caldwell
Mark Caldwell is a CFP-designated registered investment advisor at Madison Avenue Securities, LLC, based in Buda, TX, with 29 years of industry experience. Mark is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 14,099 clients with $2B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.25% |
Maximum fee rates vary by program, up to 2.00% for Fee Plus Transaction, AE Wealth Management, and Envestnet programs, and up to 2.25% for the Standard and Low-Minimum Wrap programs. Fees are negotiable and set by individual representatives.
Fee Estimator
Location
835 Main Street, Building 200, Buda, TX, 78610
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Mark sells and services fixed life insurance, long-term care (LTC), and fixed annuities as an agent/associate of E3 Wealth, dedicating about a quarter of his time. He also serves as a managing member of Caldwell Investments LLC for accounting purposes, spending minimal time on this activity.
Employment History
Current Registrations
Madison Avenue Securities, LLCBroker
Transce3nd LLC
Previous Registrations
Kalos Capital, INC.Broker
Kalos Management
Royal Alliance Associates, INC.
Royal Alliance Associates, INC.Broker
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning CorporationBroker
American General Securities Incorporated
American General Securities IncorporatedBroker
Franklin Financial Services CorporationBroker
Brokers Transaction Services, INC.Broker
State Registrations4 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
More Advisors
- Joseph Quartucci, ChFCMadison Avenue Securities, LLC
- Michael Garberich, CFANestimate
- Staci George, CFPEdward Jones
- Matthew Mintz, CFPEdward Jones
- Kevin Spotts, CFPEdward Jones
- Becky Walker, CFPLeigh Baldwin & CO., LLC