William J. Gumbert
Professional summary
William Joseph Gumbert, who also goes by Bill Gumbert, is a registered financial professional currently at MESIROW FINANCIAL, INC. located in Argyle, Texas.
William is registered as a RR (Registered Representative) and started their career in finance in 1994. William has worked at 5 firms and has passed the Series 63, SIE, Series 50, Series 7, Series 53 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Joseph Gumbert's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 19, 2022 - Present
MESIROW FINANCIAL, INC.
January 20, 2009 - June 1, 2018
BOK FINANCIAL SECURITIES, INC.
March 2, 1998 - March 6, 2009
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
March 27, 1994 - January 2, 1998
RAUSCHER PIERCE REFSNES, 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
(3/23/2022)
Exams
What does exam status mean?
FINRA
Nasdaq Stock Market
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 |
| JACOBSON, STEPHEN DAVID | SENIOR MANAGING DIRECTOR | 1353790 |
| KEIG, JESSE JOSEPH | CFO | 5268961 |
| LEVINE, JEFFREY MICHAEL | CEO/PRESIDENT | 5627249 |
| OAKLEY, ADAM JOEL | SENIOR MANAGING DIRECTOR, INVESTMENT BANKING | 4795934 |
| PRICE, BRIAN DAVID | CHAIRMAN, INVESTMENT BANKING DIVISION | 5192466 |
| SHIELDS, JAMES | CHIEF COMPLIANCE OFFICER | 2927398 |
| WALDROP, TODD E. | SENIOR MANAGING DIRECTOR | 4194147 |
Disclosures
| Regulatory Event | 18 |
| Civil Event | 1 |
| Bond | 2 |
Red Flags
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