Maria S. Kaufman
Professional summary
Maria Soledad Kaufman, who also goes by Maria S Kaufman, Maria Soledad Marin, is a registered financial professional currently at MESIROW FINANCIAL, INC. located in Chicago, Illinois.
Maria is registered as a RR (Registered Representative) and started their career in finance in 1994. Maria has worked at 8 firms and has passed the Series 63, Series 52TO, Series 7TO, SIE, Series 7, Series 53, Series 24, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Maria Soledad Kaufman's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 21, 2025 - Present
MESIROW FINANCIAL, INC.
Office #1: 353 N. Clark Street, Chicago, IL 60654September 25, 2024 - May 7, 2025
HALO SECURITIES, LLC
April 12, 2021 - September 5, 2024
HUNTINGTON SECURITIES, INC.
July 10, 2020 - March 30, 2021
BMO NESBITT BURNS SECURITIES LTD.
August 2, 2019 - March 30, 2021
BMO HARRIS FINANCIAL ADVISORS, INC.
December 6, 2000 - June 1, 2006
LASALLE FINANCIAL SERVICES, INC.
September 23, 1999 - September 26, 2001
ABN AMRO INCORPORATED
August 13, 1996 - April 2, 2001
WELLS FARGO CLEARING SERVICES, LLC
May 10, 1994 - September 9, 1996
LASALLE FINANCIAL SERVICES, 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
Exams
Series 52TO
Date: 7/19/2021
Municipal Securities Representative ExaminationSeries 7TO
Date: 8/2/2019
General Securities Representative ExaminationFINRA
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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