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EP

Edward J. Pall

MESIROW FINANCIAL
CHICAGO, IL 60654
Some features on this profile are disabled
CRD#: 2562764
EP
Edward J PallMESIROW FINANCIAL

Professional summary

Edward J Pall is a registered financial professional currently at MESIROW FINANCIAL, INC. located in Chicago, Illinois.

Edward is registered as a RR (Registered Representative) and started their career in finance in 2005. Edward has worked at 1 firm and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Aliases

None

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 Edward J Pall'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

April 4, 2005 - Present

MESIROW FINANCIAL, INC.

Office #1: 353 N. Clark Street, Chicago, IL 60654Office #2: 353 N. Clark Street, Chicago, IL 60654
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
Illinois
(8/20/2007)

Exams

What does exam status mean?
State Security Law Exam
RR
Series 63
Status Unavailable
Passed: 8/17/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Status Unavailable
Passed: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Status Unavailable
Passed: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Status Unavailable
Passed: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Status Unavailable
Passed: 12/13/2006
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Status Unavailable
Passed: 3/29/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Status Unavailable
Passed: 3/20/2012
General Securities Principal 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)
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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)

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

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