Adam R. Horowitz
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.
Adam Richard Horowitz, who also goes by Adam Richard Horowitz, was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1996. Adam had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2025 - September 19, 2025
MESIROW FINANCIAL, INC.
August 3, 2015 - May 25, 2023
BREAN CAPITAL, LLC
February 25, 2015 - July 13, 2015
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 25, 2007 - January 4, 2013
PNC CAPITAL MARKETS LLC
June 17, 1998 - April 11, 2007
ICBA SECURITIES
May 16, 1998 - April 11, 2007
VINING-SPARKS IBG, LLC
October 10, 1997 - September 22, 1999
FIRST INSTITUTIONAL SECURITIES, L.L.C.
February 28, 1997 - July 10, 1997
KAUFMAN BROS., L.P.
July 26, 1996 - February 11, 1997
SCHONFELD 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
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
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.
