Paul D. Mardoian

BAYWORTH CAPITAL

Glenview, IL

Some features on this profile are disabled

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.

~1) SMART SOLUTIONS FOR INSURANCE AND RETIREMENT PLANS; INVESTMENT-RELATED; 600 ECHO LANE, GLENVIEW, IL 60025; INSURANCE (GROUP & INDIVIDUAL),HEALTH,LIFE,DENTAL,LTD,STD,LONG TERM CARE,FIXED ANNUITIES; SOLE PROPRIETOR; 1/1996; 120-160 HRS/MONTH; 6.5 HRS DURING TRADING; INSURANCE BROKER, ALSO DO BUSINESS WITH PEOs AS NEEDED.

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

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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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	183
AUM (Assets Under Management)	$ 63,217,409

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

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

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

Similar Advisors