Marc W. Patterson

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CRD#: 2693416

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.

Marc William Patterson was a registered financial professional .

Marc is a previously registered financial professional and started their career in finance in 1995. Marc had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

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)

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

Past

January 21, 2020 - April 16, 2020

CERITY PARTNERS LLC

RIA

CRD#: 151559

BOULDER, CO

Past

September 20, 2011 - June 27, 2016

CRESTONE ASSET MANAGEMENT LLC

RIA

CRD#: 108581

BOULDER, CO

Past

September 19, 2011 - June 27, 2016

CRESTONE SECURITIES LLC

CRD#: 103981

BOULDER, CO

Past

February 9, 2010 - August 11, 2011

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

CHICAGO, IL

Past

February 9, 2010 - August 11, 2011

J.P. MORGAN SECURITIES LLC

CRD#: 79

CHICAGO, IL

Past

June 10, 2005 - April 3, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

CHICAGO, IL

Past

May 24, 2000 - April 3, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

CHICAGO, IL

Past

December 21, 1995 - May 23, 1997

SBC WARBURG, INC.

CRD#: 23745

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CERITY PARTNERS LLC

CERITY PARTNERS | MILSTEIN ADVISORS LLC | HPM PARTNERS SFO ALLIANCE | HPM PARTNERS LLC | CERITY PARTNERS LLC

CRD#: 151559 / SEC#: 801-70719

RIA

Registered Investment Advisory firm - (10/22/2009 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 6/26/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/18/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/27/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/23/2000

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 2/9/1996

National Commodity Futures Examination

Principal/Supervisory Exam

Series 10

Date: 9/27/2006

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/23/2006

General Securities Sales Supervisor - Options Module Examination

Current Firm

CERITY PARTNERS LLC

CERITY PARTNERS | MILSTEIN ADVISORS LLC | HPM PARTNERS SFO ALLIANCE | HPM PARTNERS LLC | CERITY PARTNERS LLC

CRD#: 151559 / SEC#: 801-70719

RIA

Registered Investment Advisory firm - (10/22/2009 Approved)

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Contact information

Main Address

99 Park Avenue 16th Floor, New York, NY 10016

Mailing Address

Phone number

(212) 850-4260

Established

Firm type

Fiscal year end

# of Employees

1,166

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CP ADV PART 2A (9/18/2025)

Regulatory assets under management

Total Number of Accounts	19,810
AUM (Assets Under Management)	$ 122,848,693,051

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/23/2025	Cover Page	Report
07/24/2024	Cover Page	Report
09/28/2023	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

Marc W. Patterson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CRESTONE ASSET MANAGEMENT LLC

CRESTONE SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

SBC WARBURG, INC.

Primary Firm SEC Registration

CERITY PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/26/2000

Series 63

Date: 1/18/1996

SIE

Date: 6/27/2016

Series 7

Date: 5/23/2000

Series 3

Date: 2/9/1996

Series 10

Date: 9/27/2006

Series 9

Date: 8/23/2006

Current Firm

CERITY PARTNERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CERITY PARTNERS LLC

TRUST BUT VERIFY

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