AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MK

Maria S. Kaufman

MESIROW FINANCIAL
CHICAGO, IL 60654
Some features on this profile are disabled
CRD#: 2491075
MK
Maria Soledad KaufmanMESIROW FINANCIAL

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.

Aliases

Maria S Kaufman | Maria Soledad Marin

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 Maria Soledad Kaufman'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

May 21, 2025 - Present

MESIROW FINANCIAL, INC.

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

September 25, 2024 - May 7, 2025

HALO SECURITIES, LLC

BD
CRD#: 279029
Chicago, IL
Past

April 12, 2021 - September 5, 2024

HUNTINGTON SECURITIES, INC.

BD
CRD#: 2261
CHICAGO, IL
Past

July 10, 2020 - March 30, 2021

BMO NESBITT BURNS SECURITIES LTD.

BD
CRD#: 44057
TORONTO, ONTARIO,
Past

August 2, 2019 - March 30, 2021

BMO HARRIS FINANCIAL ADVISORS, INC.

BD
CRD#: 137115
CHICAGO, IL
Past

December 6, 2000 - June 1, 2006

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
CHICAGO, IL
Past

September 23, 1999 - September 26, 2001

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

August 13, 1996 - April 2, 2001

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

May 10, 1994 - September 9, 1996

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

What does exam status mean?
State Security Law Exam
RR
Series 63
Status Unavailable
Passed: 9/21/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Status Unavailable
Passed: 7/19/2021
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 7TO
Status Unavailable
Passed: 8/2/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Status Unavailable
Passed: 5/17/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Status Unavailable
Passed: 9/9/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Status Unavailable
Passed: 9/2/2021
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Status Unavailable
Passed: 12/2/2019
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 9
Status Unavailable
Passed: 1/4/2001
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Status Unavailable
Passed: 12/14/2000
General Securities Sales Supervisor - General Module 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)
Loading...

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)

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
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
SHIELDS, JAMESCHIEF COMPLIANCE OFFICER2927398
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

TRUST BUT VERIFY

Monitor Maria Kaufman

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Michael Walter Basile
Michael BasileAdvisorCheck Check Mark
COUNTRY CAPITAL MANAGEMENT COMPANY
RR
Chicago, IL
LP
Louis PasterAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
CHICAGO, IL
Jaime Rafael Villalobos
Jaime VillalobosAdvisorCheck Check Mark
WILLIAM BLAIR
IAR
RR
CHICAGO, IL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.