Patrick G. Mahoney

Some features on this profile are disabled

CRD#: 2771774

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.

Patrick Geoffrey Mahoney was a registered financial professional .

Patrick is a previously registered financial professional and started their career in finance in 1997. Patrick had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 62, 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

June 20, 2019 - March 3, 2023

CRESSET ASSET MANAGEMENT, LLC

RIA

CRD#: 288566

Minneapolis, MN

Past

July 23, 2009 - May 29, 2019

J.P. MORGAN SECURITIES LLC

CRD#: 79

Minneapolis, MN

Past

February 29, 2008 - May 8, 2009

RBC CAPITAL MARKETS, LLC

CRD#: 31194

MINNEAPOLIS, MN

Past

February 6, 2004 - February 29, 2008

RBC CAPITAL MARKETS CORPORATION

CRD#: 6579

MINNEAPOLIS, MN

Past

April 6, 1998 - February 6, 2004

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

August 29, 1997 - April 6, 1998

WESSELS, ARNOLD & HENDERSON, L.L.C.

CRD#: 17914

MINNEAPOLIS, MN

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".

CRESSET ASSET MANAGEMENT, LLC

CRD#: 288566 / SEC#: 801-110753

RIA

Registered Investment Advisory firm - (7/10/2017 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: 6/20/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/17/1998

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: 1/15/1999

General Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 8/28/1997

Corporate Securities Limited Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/12/2013

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 6/14/2013

General Securities Sales Supervisor - Options Module Examination

Current Firm

CRESSET ASSET MANAGEMENT, LLC

CRD#: 288566 / SEC#: 801-110753

RIA

Registered Investment Advisory firm - (7/10/2017 Approved)

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

444 W. Lake Street Suite 4700, Chicago, IL 60606

Mailing Address

Phone number

(312) 429-2400

Established

Firm type

Fiscal year end

# of Employees

468

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CRESSET ASSET MANAGEMENT, LLC FORM ADV2A ("DISCLOSURE BROCHURE") AND APPENDIX 1 ("WRAP FEE BROCHURE") (10/29/2025)

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	Cover Page	Report
10/09/2024	Cover Page	Report
11/20/2023	Cover Page	Report
12/21/2022	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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Patrick G. Mahoney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS CORPORATION

RBC CAPITAL MARKETS, LLC

WESSELS, ARNOLD & HENDERSON, L.L.C.

Primary Firm SEC Registration

CRESSET ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/20/2019

Series 63

Date: 3/17/1998

SIE

Date: 10/1/2018

Series 7

Date: 1/15/1999

Series 62

Date: 8/28/1997

Series 10

Date: 8/12/2013

Series 9

Date: 6/14/2013

Current Firm

CRESSET ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CRESSET ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors