Jennifer G. Momot
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jennifer G. Momot, who also goes by Jennifer Garcia, was a registered financial professional .
Jennifer is a previously registered financial professional and started their career in finance in 1995. Jennifer had worked at 9 firms and has passed the Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2004 - September 29, 2023
MESIROW FINANCIAL, INC.
February 19, 2004 - October 13, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 6, 2001 - August 18, 2003
MESIROW FINANCIAL, INC.
October 12, 2000 - April 12, 2001
LEHMAN BROTHERS INC.
January 11, 2000 - October 19, 2000
COWEN AND COMPANY
November 17, 1999 - December 3, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 19, 1998 - October 7, 1999
COWEN AND COMPANY
March 27, 1998 - August 10, 1998
GLEACHER & COMPANY SECURITIES, INC.
January 20, 1998 - February 25, 1998
MORGAN STANLEY & CO. LLC
April 2, 1997 - January 6, 1998
ABN AMRO INCORPORATED
May 10, 1995 - February 26, 1997
WILLIAM BLAIR
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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
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.
