Marjorie W. Paddock
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Marjorie Wade Paddock, AIF®, who also goes by Marjorie W Paddock, Marjorie W Riordan, Marjorie Wade Riordan, Margorie H Wade, Marjorie H Wade, Marjorie Wade Wade, Marjorie Wade, was a registered financial professional .
Marjorie is a previously registered financial professional and started their career in finance in 1999. Marjorie had worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 7, Series 4, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2019 - November 19, 2021
CRESSET ASSET MANAGEMENT, LLC
October 30, 2019 - May 6, 2020
FORESIDE FINANCIAL SERVICES, LLC
March 28, 2012 - November 17, 2017
HIGHTOWER ADVISORS, LLC
March 28, 2012 - November 17, 2017
HIGHTOWER SECURITIES, LLC
August 5, 2006 - March 6, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 5, 2006 - March 6, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 24, 2006 - August 10, 2006
UBS FINANCIAL SERVICES INC.
April 30, 1999 - August 10, 2006
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
CRESSET ASSET MANAGEMENT, LLC
CRD#: 288566 / SEC#: 801-110753
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CRESSET ASSET MANAGEMENT, LLC
CRD#: 288566 / SEC#: 801-110753
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 42,546 |
| AUM (Assets Under Management) | $ 71,864,303,961 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/10/2025 | ||
| 10/09/2024 | ||
| 11/20/2023 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
