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Current Employers
Mesirow Financial Investment Management, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2005-03-23
PR RA APPROVED 2005-03-23
  • IL RA
    APPROVED
    Since 2005-03-23
  • PR RA
    APPROVED
    Since 2005-03-23

Branch Locations

San Juan, PR • United States

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
Mesirow Financial, Inc. San Juan PR 03/2005 Present
  • 03/2005 → Present
    Mesirow Financial, Inc.
    San Juan, PR
Previous Registrations
  • 2003-04-01 → 2005-03-17
    Columbia Management Advisors, Inc.
    San Juan, PR
  • 1998-07-30 → 2003-04-01
    Stein Roe & Farnham Incorporated
    San Juan, PR
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1998-07-17
S63 Uniform Securities Agent State Law Examination 1988-08-06
  • S66 Uniform Combined State Law Examination
    1998-07-17
  • S63 Uniform Securities Agent State Law Examination
    1988-08-06

View on SEC IAPD

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