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DE

Duane A. Erickson

MESIROW FINANCIAL
Chicago, IL 60654
Some features on this profile are disabled
CRD#: 2213728
DE

Professional summary

Duane Alan Erickson is a registered financial professional currently at MESIROW FINANCIAL, INC. located in Chicago, Illinois.

Duane is registered as a RR (Registered Representative) and started their career in finance in 1992. Duane has worked at 9 firms and has passed the Series 63, Series 72, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Duane Alan Erickson's CRS (Customer Relationship Summary).
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

February 14, 2024 - Present

MESIROW FINANCIAL, INC.

Office #1: 353 N. Clark Street, Chicago, IL 60654
BD
CRD#: 2764
Chicago, IL
Past

July 1, 2021 - February 20, 2024

INSPEREX LLC

BD
CRD#: 101420
CHICAGO, IL
Past

November 19, 2018 - July 12, 2021

280 SECURITIES LLC

BD
CRD#: 284939
Chicago, IL
Past

January 28, 2008 - March 2, 2018

CANTOR FITZGERALD & CO.

BD
CRD#: 134
CHICAGO, IL
Past

March 2, 1998 - February 21, 2008

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
CHICAGO, IL
Past

July 9, 1996 - March 2, 1998

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600
Past

November 11, 1994 - July 10, 1996

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

March 3, 1994 - November 28, 1994

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
CHICAGO, IL
Past

March 2, 1992 - August 3, 1992

VINING-SPARKS IBG, LLC

BD
CRD#: 27502
MEMPHIS, TN

State Registrations and Notice Filings

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

RR
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

RR
California
(2/14/2024)
RR
Colorado
(9/23/2024)
RR
Connecticut
(9/23/2024)
RR
Florida
(2/14/2024)
RR
Georgia
(9/23/2024)
RR
Idaho
(5/22/2025)
RR
Illinois
(2/14/2024)
RR
Indiana
(9/23/2024)
RR
Iowa
(2/14/2024)
RR
Kansas
(9/23/2024)
RR
Kentucky
(5/22/2025)
RR
Massachusetts
(2/14/2024)
RR
Michigan
(2/14/2024)
RR
Minnesota
(2/14/2024)
RR
Nevada
(2/14/2024)
RR
New Jersey
(2/14/2024)
RR
New York
(2/14/2024)
RR
North Carolina
(9/23/2024)
RR
Ohio
(2/15/2024)
RR
Oklahoma
(9/24/2024)
RR
Pennsylvania
(2/14/2024)
RR
Texas
(2/15/2024)
RR
Vermont
(9/23/2024)
RR
Washington
(5/22/2025)
RR
Wisconsin
(9/23/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/18/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/27/1992
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

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

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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MESIROW FINANCIAL HOLDINGS, INC.MAJORITY SHAREHOLDER
MESIROW FINANCIAL SERVICES, INC.MINORITY SHAREHOLDER
PRICE, RICHARD SCOTTDIRECTOR367760
HAYES, MARY JO MOONCHIEF COMPLIANCE OFFICER1196353
JACOBSON, STEPHEN DAVIDSENIOR MANAGING DIRECTOR1353790
KEIG, JESSE JOSEPHCFO5268961
LEVINE, JEFFREY MICHAELCEO/PRESIDENT5627249
OAKLEY, ADAM JOELSENIOR MANAGING DIRECTOR, INVESTMENT BANKING4795934
PRICE, BRIAN DAVIDCHAIRMAN, INVESTMENT BANKING DIVISION5192466
WALDROP, TODD E.SENIOR MANAGING DIRECTOR4194147

Disclosures

Regulatory Event18
Civil Event1
Bond2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

MESIROW FINANCIAL, INC.

CRD#: 2764Chicago, IL 60654

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