CN
Chad O. Nicholson
MESIROW FINANCIAL
Boca Raton, FL 33432
Some features on this profile are disabled
CRD#: 2599461
CN
Professional summary
Chad O Nicholson, who also goes by Chad Owen Nicholson, is a registered financial professional currently at MESIROW FINANCIAL, INC. located in Boca Raton, Florida.
Chad is registered as a RR (Registered Representative) and started their career in finance in 1995. Chad has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chad Owen Nicholson
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 Chad O Nicholson'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
September 6, 2022 - Present
MESIROW FINANCIAL, INC.
Office #1: 225 Ne Mizner Boulevard Suite 600, Boca Raton, FL 33432BD
CRD#: 2764
Boca Raton, FL
Past
June 6, 2012 - August 16, 2022
INSPEREX LLC
BD
CRD#: 101420
Larkspur, CA
Past
July 18, 2011 - June 5, 2012
OPPENHEIMER & CO. INC.
BD
CRD#: 249
SAN FRANCISCO, CA
Past
June 15, 2000 - July 11, 2011
STONE & YOUNGBERG LLC
BD
CRD#: 795
SAN FRANCISCO, CA
Past
January 20, 2000 - June 30, 2000
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
January 5, 1996 - January 10, 2000
VINING-SPARKS IBG, LLC
BD
CRD#: 27502
MEMPHIS, TN
Past
May 26, 1995 - September 7, 1995
R.W. SMITH & ASSOCIATES, LLC
BD
CRD#: 16605
JERSEY CITY, NJ
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(10/6/2022)
RR
Alaska(10/6/2022)
RR
Arizona(10/6/2022)
RR
Arkansas(10/6/2022)
RR
California(9/6/2022)
RR
Colorado(10/6/2022)
RR
Connecticut(10/6/2022)
RR
Delaware(10/6/2022)
RR
District of Columbia(10/6/2022)
RR
Florida(10/6/2022)
RR
Georgia(10/6/2022)
RR
Hawaii(10/6/2022)
RR
Idaho(10/6/2022)
RR
Illinois(9/6/2022)
RR
Indiana(10/6/2022)
RR
Iowa(10/6/2022)
RR
Kansas(10/6/2022)
RR
Kentucky(10/6/2022)
RR
Louisiana(10/6/2022)
RR
Maine(10/6/2022)
RR
Maryland(10/6/2022)
RR
Massachusetts(10/6/2022)
RR
Michigan(10/6/2022)
RR
Minnesota(10/6/2022)
RR
Mississippi(10/6/2022)
RR
Missouri(10/6/2022)
RR
Montana(10/6/2022)
RR
Nebraska(10/6/2022)
RR
Nevada(10/5/2022)
RR
New Hampshire(10/6/2022)
RR
New Jersey(10/6/2022)
RR
New Mexico(10/6/2022)
RR
New York(9/6/2022)
RR
North Carolina(10/6/2022)
RR
North Dakota(10/6/2022)
RR
Ohio(10/7/2022)
RR
Oklahoma(10/6/2022)
RR
Oregon(10/6/2022)
RR
Pennsylvania(10/6/2022)
RR
Puerto Rico(10/6/2022)
RR
Rhode Island(10/6/2022)
RR
South Carolina(10/6/2022)
RR
South Dakota(10/6/2022)
RR
Tennessee(10/6/2022)
RR
Texas(10/6/2022)
RR
Utah(10/6/2022)
RR
Vermont(10/6/2022)
RR
Virgin Islands(10/6/2022)
RR
Virginia(10/6/2022)
RR
Washington(10/6/2022)
RR
West Virginia(10/6/2022)
RR
Wisconsin(10/6/2022)
RR
Wyoming(10/6/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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 |
| 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.
Company Information
MESIROW FINANCIAL, INC.
CRD#: 2764Boca Raton, FL 33432TRUST BUT VERIFY
Monitor Chad Nicholson
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
