Steven C. Swierczewski

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CRD#: 3089595

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.

Steven Charles Swierczewski, who also goes by Steve Charles Swierczewski, was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 2000. Steven had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Steve Charles Swierczewski

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 1, 2022 - June 13, 2025

MESIROW INSTITUTIONAL INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 319065

CHICAGO, IL

Past

July 6, 2018 - June 6, 2025

MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 111135

CHICAGO, IL

Past

August 14, 2012 - June 6, 2025

MESIROW ADVANCED STRATEGIES INC

RIA

CRD#: 110754

CHICAGO, IL

Past

August 8, 2012 - June 6, 2025

MESIROW FINANCIAL, INC.

CRD#: 2764

CHICAGO, IL

Past

January 20, 2011 - August 15, 2012

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

CHICAGO, IL

Past

January 11, 2005 - November 20, 2007

CALAMOS ADVISORS LLC

RIA

CRD#: 105758

NAPERVILLE, IL

Past

August 30, 2002 - November 15, 2010

CALAMOS FINANCIAL SERVICES LLC

CRD#: 19850

NAPERVILLE, IL

Past

March 13, 2000 - August 16, 2002

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MESIROW INSTITUTIONAL INVESTMENT MANAGEMENT, INC.

CRD#: 319065 / SEC#: 801-123569

RIA

Registered Investment Advisory firm - (3/29/2022 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/19/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/27/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/26/2000

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 3/10/2000

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/7/2008

General Securities Principal Examination

Current Firm

MESIROW INSTITUTIONAL INVESTMENT MANAGEMENT, INC.

CRD#: 319065 / SEC#: 801-123569

RIA

Registered Investment Advisory firm - (3/29/2022 Approved)

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Contact information

Main Address

353 N. Clark Street, Chicago, IL 60654

Mailing Address

Phone number

(312) 595-6000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MESIROW INSTITUTIONAL INVESTMENT MANAGEMENT, INC. BROCHURE (6/11/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Steven C. Swierczewski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.

MESIROW ADVANCED STRATEGIES INC

MESIROW FINANCIAL, INC.

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CALAMOS ADVISORS LLC

CALAMOS FINANCIAL SERVICES LLC

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

MESIROW INSTITUTIONAL INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/19/2001

Series 63

Date: 3/27/2000

SIE

Date: 10/1/2018

Series 7

Date: 5/26/2000

Series 52

Date: 3/10/2000

Series 24

Date: 11/7/2008

Current Firm

MESIROW INSTITUTIONAL INVESTMENT MANAGEMENT, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

MESIROW INSTITUTIONAL INVESTMENT MANAGEMENT, INC.

TRUST BUT VERIFY

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