Karen M. Grossutti
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.
Karen Mary Grossutti, who also goes by Karen Mary Rogers, Karen Mary Steudle, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1985. Karen had worked at 16 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
June 27, 2023 - June 12, 2024
MESIROW FINANCIAL, INC.
September 5, 2012 - May 25, 2023
BREAN CAPITAL, LLC
March 27, 2008 - August 29, 2012
GLEACHER & COMPANY SECURITIES, INC.
February 22, 2008 - October 17, 2008
BROADPOINT DESCAP
September 24, 2007 - February 22, 2008
VINING-SPARKS IBG, LLC
September 6, 2005 - October 9, 2007
RBC CAPITAL MARKETS, LLC
May 27, 1998 - September 22, 2005
ADVEST, INC.
April 3, 1995 - May 28, 1998
SUNCOAST CAPITAL GROUP, LTD.
November 10, 1994 - March 15, 1995
DAVID LERNER ASSOCIATES, INC.
January 14, 1993 - June 9, 1994
GRUNTAL & CO., L.L.C.
February 4, 1991 - April 11, 1994
GMS GROUP
January 1, 1991 - January 15, 1991
WELLS FARGO CLEARING SERVICES, LLC
January 2, 1990 - June 13, 1990
PRESCOTT, BALL & TURBEN, INC.
November 14, 1988 - January 2, 1990
GULFSTREAM FINANCIAL ASSOCIATES, INC.
December 3, 1986 - November 17, 1988
GLICKENHAUS & CO.
December 18, 1985 - July 30, 1986
TMA GOVERNMENT SECURITIES, LTD.
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.
