DN
Denice H. Nard
MESIROW FINANCIAL
Highland Park, IL 60035-3255
Some features on this profile are disabled
CRD#: 2415253
DN
Professional summary
Denice Hope Nard, who also goes by Denice Nard, Denice Hope Williamsnard, is a registered financial professional currently at MESIROW FINANCIAL, INC. located in Highland Park, Illinois.
Denice is registered as a RR (Registered Representative) and started their career in finance in 1996. Denice has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24, Series 23, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Denice Nard | Denice Hope Williamsnard
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.
CRS (Client Relationship Summary) - BD
Click below to view Denice Hope Nard's 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®
NoneExperience
Current
November 16, 2018 - Present
MESIROW FINANCIAL, INC.
Office #1: 610 Central Avenue Suite 200, Highland Park, IL 60035-3255BD
CRD#: 2764
Highland Park, IL
Past
February 19, 2019 - October 26, 2021
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
RIA
CRD#: 111135
CHICAGO, IL
Past
August 19, 2015 - November 9, 2018
BANKERS LIFE SECURITIES, INC.
BD
CRD#: 173962
CHICAGO, IL
Past
April 4, 2013 - May 27, 2015
BMO INVESTMENT DISTRIBUTORS, LLC
BD
CRD#: 146711
CHICAGO, IL
Past
June 7, 2012 - June 13, 2012
BMO INVESTMENT DISTRIBUTORS, LLC
BD
CRD#: 146711
CHICAGO, IL
Past
February 28, 2012 - August 17, 2012
M&I FINANCIAL ADVISORS, INC
BD
CRD#: 16517
MILWAUKEE, WI
Past
February 4, 2008 - May 27, 2015
BMO HARRIS FINANCIAL ADVISORS, INC.
BD
CRD#: 137115
MILWAUKEE, WI
Past
February 23, 2001 - February 6, 2008
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
CHICAGO, IL
Past
June 15, 1998 - December 7, 2000
NUVEEN SECURITIES, LLC
BD
CRD#: 469
CHICAGO, IL
Past
October 1, 1996 - February 6, 1998
MESIROW FINANCIAL, INC.
BD
CRD#: 2764
CHICAGO, IL
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
Alabama(2/1/2021)
RR
Alaska(2/1/2021)
RR
Arizona(2/1/2021)
RR
Arkansas(2/1/2021)
RR
California(2/1/2021)
RR
Colorado(2/1/2021)
RR
Connecticut(2/1/2021)
RR
Delaware(2/1/2021)
RR
District of Columbia(2/1/2021)
RR
Florida(2/1/2021)
RR
Georgia(2/1/2021)
RR
Hawaii(2/1/2021)
RR
Idaho(2/1/2021)
RR
Illinois(11/16/2018)
RR
Indiana(2/1/2021)
RR
Iowa(2/1/2021)
RR
Kansas(2/1/2021)
RR
Kentucky(2/1/2021)
RR
Louisiana(2/1/2021)
RR
Maine(2/1/2021)
RR
Maryland(2/1/2021)
RR
Massachusetts(2/1/2021)
RR
Michigan(2/1/2021)
RR
Minnesota(2/1/2021)
RR
Mississippi(2/1/2021)
RR
Missouri(2/1/2021)
RR
Montana(2/1/2021)
RR
Nebraska(2/1/2021)
RR
Nevada(2/1/2021)
RR
New Hampshire(2/1/2021)
RR
New Jersey(2/1/2021)
RR
New Mexico(2/1/2021)
RR
New York(2/1/2021)
RR
North Carolina(2/1/2021)
RR
North Dakota(2/1/2021)
RR
Ohio(2/2/2021)
RR
Oklahoma(2/1/2021)
RR
Oregon(2/1/2021)
RR
Pennsylvania(2/1/2021)
RR
Puerto Rico(2/1/2021)
RR
Rhode Island(2/1/2021)
RR
South Carolina(2/1/2021)
RR
South Dakota(2/1/2021)
RR
Tennessee(2/1/2021)
RR
Texas(2/1/2021)
RR
Utah(2/1/2021)
RR
Vermont(2/1/2021)
RR
Virgin Islands(2/1/2021)
RR
Virginia(2/1/2021)
RR
Washington(2/1/2021)
RR
West Virginia(2/1/2021)
RR
Wisconsin(2/1/2021)
RR
Wyoming(2/1/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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)
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 |
| HAYES, MARY JO MOON | CHIEF COMPLIANCE OFFICER | 1196353 |
| JACOBSON, STEPHEN DAVID | SENIOR MANAGING DIRECTOR | 1353790 |
| KEIG, JESSE JOSEPH | CFO | 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.
