Joseph A. Piraro
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.
Joseph Andrew Piraro was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1988. Joseph had worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2010 - January 11, 2019
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
June 25, 2008 - December 31, 2009
MESIROW FINANCIAL, INC.
June 25, 2008 - June 5, 2023
MESIROW FINANCIAL, INC.
June 9, 2005 - August 13, 2008
VAN KAMPEN ADVISORS INC
October 28, 1992 - August 13, 2008
INVESCO CAPITAL MARKETS, INC.
January 23, 1989 - May 12, 1992
BANC ONE CAPITAL MARKETS, INC.
September 20, 1988 - October 28, 1988
WINGSPAN INVESTMENT SERVICES
Primary Firm SEC Registration
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
CRD#: 111135 / SEC#: 801-27047
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
CRD#: 111135 / SEC#: 801-27047
Contact information
SEC notice filing (52 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 14,109 |
| AUM (Assets Under Management) | $ 43,420,623,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/11/2025 | ||
| 07/18/2024 |
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.
