Samuel M. Gruer
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.
Samuel Michael Gruer, who also goes by Sam Gruer, Samuel Gruer, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1989. Samuel had worked at 6 firms and has passed the Series 63, Series 7TO, Series 52TO, SIE, Series 50, Series 7, Series 52, Series 53 and Series 54 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2022 - August 21, 2025
MESIROW FINANCIAL, INC.
June 22, 2006 - September 4, 2008
DEUTSCHE BANK SECURITIES INC.
May 1, 2001 - June 5, 2006
J.P. MORGAN SECURITIES INC.
February 24, 2000 - May 1, 2001
JPMSI
June 24, 1998 - March 1, 2000
J.P. MORGAN SECURITIES INC.
February 28, 1994 - March 6, 1997
J.P. MORGAN SECURITIES INC.
March 11, 1992 - March 10, 1994
PRUDENTIAL EQUITY GROUP, LLC
August 7, 1989 - January 17, 1992
MORGAN STANLEY & CO. LLC
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 7TO
Date: 5/11/2023
General Securities Representative ExaminationSeries 52TO
Date: 4/27/2022
Municipal Securities Representative ExaminationCurrent 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.
