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MM

Mia Mitchell

MESIROW FINANCIAL
Chicago, IL 60654
Some features on this profile are disabled
CRD#: 2962189
MM

Professional summary

Mia Mitchell, who also goes by Mia Lenaya Mitchell, Mia Mitchell, is a registered financial professional currently at MESIROW FINANCIAL, INC. located in Chicago, Illinois.

Mia is registered as a RR (Registered Representative) and started their career in finance in 2000. Mia has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mia Lenaya Mitchell | Mia Mitchell

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 Mia Mitchell'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

October 12, 2017 - 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
Past

October 17, 2017 - January 11, 2019

MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.

RIA
CRD#: 111135
CHICAGO, IL
Past

May 11, 2015 - May 17, 2016

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
CHICAGO, IL
Past

May 11, 2015 - May 17, 2016

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
CHICAGO, IL
Past

August 28, 2012 - April 10, 2015

SANCTUARY SECURITIES, INC.

RIA
CRD#: 205
CHICAGO, IL
Past

August 28, 2012 - April 10, 2015

SANCTUARY SECURITIES, INC.

BD
CRD#: 205
CHICAGO, IL
Past

February 15, 2012 - August 27, 2012

B. RILEY WEALTH MANAGEMENT

RIA
CRD#: 2543
CHICAGO, IL
Past

August 17, 2010 - August 27, 2012

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
CHICAGO, IL
Past

March 17, 2010 - May 10, 2010

NORTHERN TRUST SECURITIES, INC.

BD
CRD#: 7927
CHICAGO, IL
Past

June 1, 2009 - August 11, 2009

MORGAN STANLEY

BD
CRD#: 149777
CHICAGO, IL
Past

June 7, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
CHICAGO, IL
Past

October 24, 2002 - July 29, 2005

ARIEL DISTRIBUTORS, LLC

BD
CRD#: 38333
CHICAGO, IL
Past

January 17, 2002 - June 28, 2002

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

December 21, 2000 - December 18, 2001

WILLIAM BLAIR

BD
CRD#: 1252
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
(10/12/2017)
RR
New York
(11/7/2017)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/19/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/18/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/2000
General Securities Representative 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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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
HAYES, MARY JO MOONCHIEF COMPLIANCE OFFICER1196353
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
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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