Andrew M. Carolus

MESIROW FINANCIAL

Chicago, IL 60654

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CRD#: 2154114

Professional summary

Andrew Mitchell Carolus is a registered financial professional currently at MESIROW FINANCIAL, INC. located in Chicago, Illinois.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 1991. Andrew has worked at 6 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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CRS (Client Relationship Summary) - BD

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CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 9, 2010 - Present

MESIROW FINANCIAL, INC.

Office #1: 353 N. Clark Street, Chicago, IL 60654

CRD#: 2764

Chicago, IL

Past

January 9, 2007 - April 9, 2010

BMO CAPITAL MARKETS CORP.

CRD#: 16686

CHICAGO, IL

Past

September 1, 2004 - November 14, 2006

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

CHICAGO, IL

Past

January 5, 2001 - August 12, 2004

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

April 15, 1992 - August 31, 1992

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

Past

August 9, 1991 - August 30, 1991

HIBBARD BROWN & CO., INC.

CRD#: 18246

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(8/9/2010)

Exams

State Security Law Exam

Series 63

Date: 4/16/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/4/2001

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

MESIROW FINANCIAL, INC.

MESIROW & COMPANY | PEMBROKE CLEARING CORPORATION | MESIROW FINANCIAL, INC. | MESIROW CAPITAL, INC. | MESIROW & COMPANY, INCORPORATED

CRD#: 2764 / SEC#: , 8-28816

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

353 N. Clark Street, Chicago, IL 60654

Mailing Address

353 N. Clark Street, Chicago, IL 60654

Phone number

(312) 595-6000

Established

Delaware since 10/12/1982

Firm type

Corporation

Fiscal year end

March

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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Andrew M. Carolus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Mitchell Carolus's CRS (Customer Relationship Summary).

Certified licenses

Experience

BMO CAPITAL MARKETS CORP.

CREDIT SUISSE SECURITIES (USA) LLC

UBS SECURITIES LLC

AMERIPRISE ADVISOR SERVICES, INC.

HIBBARD BROWN & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/16/2007

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/4/2001

FINRA

Nasdaq Stock Market

Current Firm

MESIROW FINANCIAL, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MESIROW FINANCIAL, INC.

TRUST BUT VERIFY

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