Keith R. Flemm
Professional summary
Keith Robert Flemm is a registered financial professional currently at MESIROW FINANCIAL, INC. located in New York, New York.
Keith is registered as a RR (Registered Representative) and started their career in finance in 1994. Keith has worked at 9 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Keith Robert Flemm's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2026 - Present
MESIROW FINANCIAL, INC.
Office #1: 140 East 45 Street Suite 31(b), New York, NY 10017May 19, 2021 - March 6, 2026
BNY MELLON CAPITAL MARKETS, LLC
July 31, 2006 - October 1, 2020
CANTOR FITZGERALD & CO.
February 18, 2004 - August 1, 2006
CANTOR FITZGERALD SECURITIES
October 28, 2002 - February 25, 2004
ABN AMRO INCORPORATED
February 10, 2000 - September 3, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
November 28, 1997 - September 1, 1998
SALOMON BROTHERS INC.
January 3, 1995 - December 30, 1998
CITIGROUP GLOBAL MARKETS INC.
May 10, 1994 - July 26, 1994
NOMURA SECURITIES INTERNATIONAL, 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
(6/29/2026)
(6/29/2026)
(6/29/2026)
Exams
Series 52TO
Date: 7/18/2023
Municipal Securities Representative ExaminationFINRA
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 |
| HAYES, MARY JO MOON | CHIEF COMPLIANCE OFFICER | 1196353 |
| 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 |
| WALDROP, TODD E. | SENIOR MANAGING DIRECTOR | 4194147 |
Disclosures
| Regulatory Event | 18 |
| Civil Event | 1 |
| Bond | 2 |
Red Flags
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