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KP

Kevin A. Potter

MESIROW FINANCIAL
Chicago, IL 60654
Some features on this profile are disabled
CRD#: 2260213
KP

Professional summary

Kevin Alan Potter, who also goes by Kevin Alan Potter, is a registered financial professional currently at MESIROW FINANCIAL, INC. located in Chicago, Illinois.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 1992. Kevin has worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kevin Alan Potter

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 Kevin Alan Potter'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 11, 2026 - Present

MESIROW FINANCIAL, INC.

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

September 24, 2012 - February 6, 2026

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
Chicago, IL
Past

October 15, 2007 - March 14, 2013

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
CHICAGO, IL
Past

July 30, 2007 - September 13, 2007

COUNTRYWIDE SECURITIES CORPORATION

BD
CRD#: 10598
CHICAGO, IL
Past

November 3, 2005 - August 31, 2006

CANTOR FITZGERALD SECURITIES

BD
CRD#: 19660
NEW YORK, NY
Past

September 14, 2004 - August 31, 2006

CANTOR FITZGERALD & CO.

BD
CRD#: 134
CHICAGO, IL
Past

June 22, 2004 - February 7, 2005

CANTOR FITZGERALD SECURITIES

BD
CRD#: 19660
NEW YORK, NY
Past

December 13, 2001 - June 2, 2004

WELLS FARGO BROKERAGE SERVICES, L.L.C.

BD
CRD#: 16100
MINNEAPOLIS, MN
Past

October 5, 1999 - November 15, 2001

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

June 21, 1997 - August 17, 1999

MERCANTILE INVESTMENT SERVICES, INC.

BD
CRD#: 19908
ST. LOUIS, MO
Past

July 22, 1996 - June 21, 1997

MARK TWAIN BROKERAGE SERVICES, INC.

BD
CRD#: 16925
Past

February 1, 1993 - July 1, 1996

ICBA SECURITIES

BD
CRD#: 24088
MEMPHIS, TN
Past

July 31, 1992 - July 1, 1996

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
(2/11/2026)
RR
District of Columbia
(2/11/2026)
RR
Florida
(2/11/2026)
RR
Illinois
(2/11/2026)
RR
Kansas
(2/11/2026)
RR
Michigan
(2/11/2026)
RR
Missouri
(2/11/2026)
RR
New York
(2/11/2026)
RR
Oklahoma
(2/11/2026)
RR
Puerto Rico
(2/11/2026)
RR
Texas
(2/11/2026)
RR
Virginia
(2/11/2026)
RR
Wisconsin
(2/11/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 8/20/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/30/1992
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.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

MESIROW FINANCIAL, INC.

CRD#: 2764Chicago, IL 60654

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