James S. Levy
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.
James S Levy was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1961. James had worked at 4 firms and has passed the Series 65, Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2010 - September 6, 2019
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
September 20, 2005 - June 9, 2010
MESIROW FINANCIAL, INC.
December 15, 1993 - September 6, 2019
MESIROW FINANCIAL, INC.
December 19, 1986 - January 1, 1994
MESIROW INVESTMENT SERVICES, INC.
March 7, 1972 - January 7, 1987
MESIROW FINANCIAL, INC.
March 27, 1961 - March 2, 1972
EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED
Primary Firm SEC Registration
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
CRD#: 111135 / SEC#: 801-27047
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
PC
Date: 4/7/1977
AMEX Put and Call ExamSeries 1
Date: 3/27/1961
Registered Representative ExaminationCurrent Firm
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
CRD#: 111135 / SEC#: 801-27047
Contact information
SEC notice filing (52 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 14,109 |
| AUM (Assets Under Management) | $ 43,420,623,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/11/2025 | ||
| 07/18/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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