Bruce D. Grigsby
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.
Bruce David Grigsby was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1984. Bruce had worked at 14 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2013 - May 28, 2024
MESIROW FINANCIAL, INC.
August 10, 2010 - February 13, 2013
KGS-ALPHA CAPITAL MARKETS, L.P.
January 2, 2001 - July 2, 2010
MESIROW FINANCIAL, INC.
August 19, 1997 - January 2, 2001
SUNCOAST CAPITAL GROUP, LTD.
June 20, 1995 - August 26, 1997
LOP CAPITAL MARKETS, INC.
June 30, 1989 - April 2, 1997
LEHWALD, OROSEY & PEPE INCORPORATED
March 20, 1989 - July 7, 1989
INSTITUTIONAL EQUITY CORPORATION
February 1, 1989 - March 23, 1989
ALLISON, ROSENBLUM & HANNAHS, INC.
October 24, 1988 - March 8, 1989
FIRST STATE INVESTMENTS, INC.
June 23, 1988 - October 12, 1988
GULFSTREAM FINANCIAL ASSOCIATES, INC.
July 2, 1987 - July 5, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
September 29, 1986 - June 19, 1987
TMA GOVERNMENT SECURITIES, LTD.
March 25, 1986 - October 8, 1986
FIRST INVESTMENT SECURITIES, INC.
June 18, 1985 - April 7, 1986
JW GENESIS CLEARING CORP.
April 10, 1984 - August 5, 1985
H. BURCKHARDT & COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MESIROW FINANCIAL, INC.
CRD#: 2764 / SEC#: , 8-28816
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MESIROW FINANCIAL HOLDINGS, INC. | MAJORITY SHAREHOLDER | |
| MESIROW FINANCIAL SERVICES, INC. | MINORITY SHAREHOLDER | |
| PRICE, RICHARD SCOTT | DIRECTOR | 367760 |
| FARR, CHRISTOPHER DAYNE | CFO | 3239925 |
| HAYES, MARY JO MOON | CHIEF COMPLIANCE OFFICER | 1196353 |
| JACOBSON, STEPHEN DAVID | SENIOR MANAGING DIRECTOR | 1353790 |
| KEIG, JESSE JOSEPH | DIRECTOR | 5268961 |
| LEVINE, JEFFREY MICHAEL | CEO/PRESIDENT | 5627249 |
| OAKLEY, ADAM JOEL | SENIOR MANAGING DIRECTOR, INVESTMENT BANKING | 4795934 |
| PRICE, BRIAN DAVID | CHAIRMAN, INVESTMENT BANKING DIVISION | 5192466 |
| WALDROP, TODD E. | SENIOR MANAGING DIRECTOR | 4194147 |
Disclosures
| Regulatory Event | 18 |
| Civil Event | 1 |
| Bond | 2 |
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.
