ES
Edward T. Smith
MESIROW FINANCIAL
NEW YORK, NY 10017
CRD#: 2787180
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ES
Edward Thomas SmithMESIROW FINANCIAL
Professional summary
Edward Thomas Smith, who also goes by Ned Smith, is a registered financial professional currently at MESIROW FINANCIAL, INC. located in New York, New York.
Edward is registered as a RR (Registered Representative) and started their career in finance in 1997. Edward has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ned Smith
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 Edward Thomas Smith'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
May 21, 2026 - Present
MESIROW FINANCIAL, INC.
Office #1: 140 East 45 Street Suite 31(b), New York, NY 10017BD
CRD#: 2764
NEW YORK, NY
Past
April 4, 2018 - May 14, 2026
CF SECURED, LLC
BD
CRD#: 285841
New York, NY
Past
March 8, 2005 - May 14, 2026
CANTOR FITZGERALD & CO.
BD
CRD#: 134
NEW YORK, NY
Past
September 14, 1998 - February 17, 2005
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
March 20, 1997 - July 20, 1998
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, 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(5/21/2026)
RR
Alaska(5/21/2026)
RR
Arizona(5/21/2026)
RR
Arkansas(5/21/2026)
RR
California(5/21/2026)
RR
Colorado(5/21/2026)
RR
Connecticut(5/21/2026)
RR
Delaware(5/21/2026)
RR
Florida(5/21/2026)
RR
Georgia(5/21/2026)
RR
Hawaii(5/21/2026)
RR
Idaho(5/21/2026)
RR
Illinois(5/21/2026)
RR
Indiana(5/21/2026)
RR
Iowa(5/21/2026)
RR
Kansas(5/21/2026)
RR
Kentucky(5/21/2026)
RR
Louisiana(5/21/2026)
RR
Maine(5/21/2026)
RR
Maryland(5/21/2026)
RR
Massachusetts(5/21/2026)
RR
Michigan(5/21/2026)
RR
Minnesota(5/21/2026)
RR
Mississippi(5/21/2026)
RR
Missouri(5/21/2026)
RR
Montana(5/21/2026)
RR
Nebraska(5/21/2026)
RR
Nevada(5/21/2026)
RR
New Hampshire(5/21/2026)
RR
New Jersey(5/21/2026)
RR
New Mexico(5/21/2026)
RR
New York(5/21/2026)
RR
North Carolina(5/21/2026)
RR
North Dakota(5/21/2026)
RR
Ohio(5/21/2026)
RR
Oklahoma(5/21/2026)
RR
Oregon(5/21/2026)
RR
Pennsylvania(5/21/2026)
RR
Rhode Island(5/21/2026)
RR
South Carolina(5/21/2026)
RR
South Dakota(5/21/2026)
RR
Tennessee(5/21/2026)
RR
Texas(5/21/2026)
RR
Utah(5/21/2026)
RR
Vermont(5/21/2026)
RR
Virginia(5/21/2026)
RR
Washington(5/21/2026)
RR
West Virginia(5/21/2026)
RR
Wisconsin(5/21/2026)
RR
Wyoming(5/21/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral 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)
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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)
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 |
| HAYES, MARY JO MOON | CHIEF COMPLIANCE OFFICER | 1196353 |
| JACOBSON, STEPHEN DAVID | SENIOR MANAGING DIRECTOR | 1353790 |
| KEIG, JESSE JOSEPH | CFO | 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.
