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Lisa Norcia-Appelbaum

Mesirow Financial Investment Management, Inc.

Chicago, IL

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Current Employers
Mesirow Financial Investment Management, Inc.

353 N. Clark St, Chicago, IL 60654 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-06-08
IL RA APPROVED 2023-06-08
TX RA APPROVED 2023-06-08
  • CA RA
    APPROVED
    Since 2023-06-08
  • IL RA
    APPROVED
    Since 2023-06-08
  • TX RA
    APPROVED
    Since 2023-06-08

Branch Locations

353 N. Clark St, Chicago, IL 60654 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Llc Lake Forest IL 05/2022 05/2023
Retired Highland Park IL 09/2014 04/2022
Mesirow Highland Park IL 05/2023 Present
  • 05/2022 → 05/2023
    Morgan Stanley Smith Barney Llc
    Lake Forest, IL
  • 09/2014 → 04/2022
    Retired
    Highland Park, IL
  • 05/2023 → Present
    Mesirow
    Highland Park, IL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-11-30
S63 Uniform Securities Agent State Law Examination 1992-09-28
  • S66 Uniform Combined State Law Examination
    2022-11-30
  • S63 Uniform Securities Agent State Law Examination
    1992-09-28
Other Names
  • Lisa Anne Norcia
  • Lisa Anne Erbelding
  • Lisa A Norcia-Appelbaum

View on SEC IAPD

Other Firms

BROWNSON, REHMUS & FOXWORTH, INC.
PFINGSTEN PARTNERS, L.L.C.
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
GUGGENHEIM INVESTMENTS
PEKIN HARDY STRAUSS, INC.
SPIDERROCK ADVISORS, LLC
PROSPECT PARTNERS ADVISORS LLC
DOYENNE WEALTH ADVISORS

Other Investors

James Michael Franch
HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN
PHILIP JOHN RIDOLPHI
SUSAN MARY SHACKLETTE
KRISTI LYNN MILLS
NATHANIEL MITCHELL COLEMAN
KEITH MATTHEW CARDOZA

Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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