Neal Mathisen
Professional summary
Neal Mathisen, who also goes by Neal Edmond Mathisen, is a registered financial professional currently at MESIROW FINANCIAL, INC. located in New York, New York.
Neal is registered as a RR (Registered Representative) and started their career in finance in 1993. Neal has worked at 5 firms and has passed the Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Neal Mathisen's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 12, 2017 - Present
MESIROW FINANCIAL, INC.
Office #1: 140 East 45 Street Suite 31(b), New York, NY 10017March 17, 2014 - August 1, 2017
WILLIAM BLAIR
September 1, 2000 - March 25, 2014
E.J. DE LA ROSA & CO., INC.
September 4, 1996 - August 14, 2000
PRUDENTIAL EQUITY GROUP, LLC
July 21, 1993 - September 13, 1996
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/12/2017)
(9/27/2017)
(9/27/2017)
(8/23/2019)
(1/3/2019)
(12/23/2020)
(9/27/2017)
(9/27/2017)
(9/27/2017)
(12/7/2023)
Exams
FINRA
Nasdaq Stock Market
Current 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
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