William P. Morrissey

CADARET, GRANT & CO.

San Diego, CA 92131

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CRD#: 1575389

Professional summary

William Paul Morrissey, who also goes by Bill Morrissey, William Paul Morrissey Jr., William Morrissey, is a registered financial advisor currently at CADARET, GRANT & CO., INC. located in San Diego, California.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. William has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Morrissey | William Paul Morrissey Jr. | William Morrissey

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) Haven Tower, 212 26th St., #103, Santa Monica, CA 90402, 11/21/2019 to present, Advisory Board member, approximately 1 hour per month, general advising; 2) Morrissey Strategic Consulting, LLC, 1450 LaJolla Rancho Rd, LaJolla, CA 92037, October 15, 2018 to present, 100% owner, approximately 1 hours per month, research and accepting compensation for outside business activities; 3) Big Brother Brig Sisters of San Diego, 4305 University Ave, #590 San Diego CA 92105, Board Member, (1) hour per month, start date 01/2017, no compensation.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 2, 2023 - Present

CADARET, GRANT & CO., INC.

Office #1: 10150 Meanley Drive First Floor, San Diego, CA 92131

CRD#: 10641

San Diego, CA

Current

February 21, 2023 - Present

CADARET, GRANT & CO., INC.

Office #1: 10150 Meanley Drive First Floor, San Diego, CA 92131

CRD#: 10641

San Diego, CA

Past

May 22, 2023 - October 9, 2025

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

PASADENA, CA

Past

February 25, 2020 - April 9, 2021

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

January 30, 2020 - April 9, 2021

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

NEW YORK, NY

Past

March 12, 2004 - September 25, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

Past

March 11, 2004 - September 25, 2018

LPL FINANCIAL LLC

CRD#: 6413

SAN DIEGO, CA

Past

January 11, 2001 - October 28, 2002

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

June 8, 1999 - March 13, 2000

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

January 30, 1987 - June 8, 1999

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(2/2/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/16/1990

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/17/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 2/21/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 9/25/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/15/1987

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/29/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/4/2015

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CADARET, GRANT & CO., INC.

CRD#: 10641 / SEC#: 801-42709, 8-27844

Terminated by SEC on 12/09/2025

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Contact information

Main Address

100 Madison Street Suite 1300, Syracuse, NY 13202

Mailing Address

Phone number

(800) 288-8601

Established

Delaware since 04/16/1981

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

692

FINRA licenses (4 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

CADARET GRANT CONTOUR WRAP FEE PROGRAM BROCHURE MARCH 2025 (3/28/2025)

CADARET GRANT FORM ADV 2A BROCHURE MARCH 2025 (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
AWS 4, INC.	SHAREHOLDER
MORRISSEY, WILLIAM PAUL	PRESIDENT	1575389
SCHUMANN, ALEXIS V	ADVISORY CHIEF COMPLIANCE OFFICER	3157769
SCHUMANN, ALEXIS V	CHIEF COMPLIANCE OFFICER	3157769
TYMKIW, TRISHA LYNN	PRINCIPAL FINANCIAL OFFICER	3197368

Regulatory assets under management

Total Number of Accounts	25,442
AUM (Assets Under Management)	$ 7,671,069,034

Disclosures

Regulatory Event	17
Arbitration	4

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/14/2024	Cover Page	Report
01/10/2024	Cover Page	Report
12/14/2022	Cover Page	Report

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.

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Firm Stability Insights

William P. Morrissey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CADARET, GRANT & CO., INC.

WESTERN INTERNATIONAL SECURITIES, INC.

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY BROKERAGE SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/16/1990

Series 63

Date: 12/17/1986

Series 99TO

Date: 2/21/2023

SIE

Date: 9/25/2018

Series 7

Date: 8/15/1987

Series 6

Date: 1/29/1987

Series 24

Date: 9/4/2015

FINRA

Current Firm

CADARET, GRANT & CO., INC.

Contact information

FINRA licenses (4 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

CADARET, GRANT & CO., INC.

TRUST BUT VERIFY

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