Timothy J. Brown
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.
Timothy Joseph Brown was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1997. Timothy had worked at 11 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
September 11, 2018 - February 20, 2019
MESIROW FINANCIAL, INC.
May 10, 2016 - October 23, 2017
TCW FUNDS DISTRIBUTORS LLC
August 25, 2014 - February 23, 2016
DAIWA CAPITAL MARKETS AMERICA INC.
April 5, 2012 - July 18, 2014
BNP PARIBAS SECURITIES CORP.
March 2, 2010 - February 10, 2012
RBC CAPITAL MARKETS, LLC
June 5, 2009 - January 22, 2010
MAXIM GROUP LLC
September 8, 2003 - September 19, 2008
COUNTRYWIDE SECURITIES CORPORATION
July 27, 2001 - September 9, 2003
STONE & YOUNGBERG LLC
March 28, 2000 - December 21, 2000
J.P. MORGAN SECURITIES INC.
April 20, 1999 - April 27, 2000
PERSHING LLC
October 16, 1997 - May 12, 1999
LEHMAN BROTHERS 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.
