Paul D. Mardoian

BAYWORTH CAPITAL

Glenview, IL

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CRD#: 1910890

Professional summary

Paul David Mardoian, CFP® is a registered financial advisor currently at BAYWORTH CAPITAL located in Glenview, Illinois.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Paul has worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul David Mardoian's CRS (Customer Relationship Summary).

Certified licenses

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

CFP^®

Certified Financial Planner

Start date: 1992

Experience

Current

March 21, 2025 - Present

BAYWORTH CAPITAL

RIA

CRD#: 284360

Glenview, IL

Past

January 22, 2018 - April 30, 2019

TRIAD ADVISORS LLC

CRD#: 25803

Glenview, IL

Past

April 24, 2015 - March 28, 2025

FAIRHAVEN WEALTH MANAGEMENT, LLC

RIA

CRD#: 173771

GLENVIEW, IL

Past

February 27, 2015 - December 31, 2017

TRIAD ADVISORS LLC

CRD#: 25803

Glenview, IL

Past

February 1, 2013 - March 3, 2015

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

March 11, 2010 - December 31, 2015

RH FINANCIAL GROUP, LLC

RIA

CRD#: 152830

OAK BROOK, IL

Past

July 1, 2009 - February 27, 2015

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

GLENVIEW, IL

Past

September 29, 2006 - July 6, 2009

QUESTAR CAPITAL CORPORATION

CRD#: 43100

ITASCA, IL

Past

August 16, 2006 - October 2, 2006

WATERSTONE FINANCIAL GROUP, INC.

RIA

CRD#: 10078

OAK BROOK, IL

Past

December 5, 2000 - March 31, 2010

RESULTS ONE FINANCIAL, LLC

RIA

CRD#: 109269

OAK BROOK, IL

Past

November 5, 1997 - October 2, 2006

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

OAK BROOK, IL

Past

October 31, 1996 - November 10, 1997

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SCHAUMBURG, IL

Past

January 22, 1996 - November 4, 1996

CAPITAL SECURITIES INVESTMENT CORPORATION

CRD#: 5606

OAK BROOK, IL

Past

February 17, 1989 - January 29, 1996

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

February 17, 1989 - January 29, 1996

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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

Illinois
(3/21/2025)

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

Series 63

Date: 12/18/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/14/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/14/1989

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BAYWORTH CAPITAL

BAYWORTH CAPITAL | XCEED CAPITAL MANAGEMENT, LLC

CRD#: 284360 / SEC#:

California

Registered Investment Advisory firm - (3/6/2019 Approved)

Illinois

Registered Investment Advisory firm - (8/2/2016 Approved)

Indiana

Registered Investment Advisory firm - (1/31/2019 Approved)

Texas

Registered Investment Advisory firm - (8/29/2018 Approved)

Wisconsin

Registered Investment Advisory firm - (3/22/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

875 N Michigan Avenue Suite 3100, Chicago, IL 60611

Mailing Address

Phone number

(312) 788-7425

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	195
AUM (Assets Under Management)	$ 90,617,888

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Paul D. Mardoian

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul David Mardoian's CRS (Customer Relationship Summary).

Certified licenses

Experience

BAYWORTH CAPITAL

TRIAD ADVISORS LLC

FAIRHAVEN WEALTH MANAGEMENT, LLC

TRIAD ADVISORS LLC

AMERICAN PORTFOLIOS ADVISORS, INC

RH FINANCIAL GROUP, LLC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

QUESTAR CAPITAL CORPORATION

WATERSTONE FINANCIAL GROUP, INC.

RESULTS ONE FINANCIAL, LLC

WATERSTONE FINANCIAL GROUP, INC.

CETERA FINANCIAL SPECIALISTS LLC

CAPITAL SECURITIES INVESTMENT CORPORATION

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/18/1991

SIE

Date: 10/1/2018

Series 7

Date: 5/14/1997

Series 6

Date: 2/14/1989

Current Firm

BAYWORTH CAPITAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BAYWORTH CAPITAL

TRUST BUT VERIFY

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