Veda K. Levin
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.
Veda Kaufman Levin, who also goes by Veda P Kaufman, Veda Pamela Kaufman, was a registered financial professional .
Veda is a previously registered financial professional and started their career in finance in 1973. Veda had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 5, PC, Series 1 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2010 - July 10, 2018
MESIROW FINANCIAL, INC.
January 24, 2007 - January 11, 2010
ABN AMRO CLEARING USA LLC
January 19, 2005 - January 9, 2007
UBS CLEARING SERVICES CORPORATION
February 20, 2001 - March 17, 2006
ABN AMRO INCORPORATED
March 31, 1994 - February 26, 2001
LAZARD FRERES & CO. LLC
January 3, 1980 - April 4, 1994
KIDDER, PEABODY & CO. INCORPORATED
July 22, 1974 - April 18, 1977
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
November 1, 1973 - July 27, 1974
J.P. MORGAN SECURITIES LLC
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 5
Date: 10/22/1981
Interest Rate Options ExaminationPC
Date: 8/20/1981
AMEX Put and Call ExamSeries 1
Date: 10/26/1973
Registered 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.
