Matthew J. Miller
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.
Matthew James Miller was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1973. Matthew had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 5, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2007 - October 15, 2020
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
March 2, 2001 - December 31, 2009
MESIROW FINANCIAL, INC.
March 1, 2001 - October 15, 2020
MESIROW FINANCIAL, INC.
May 26, 1989 - March 9, 2001
PRUDENTIAL EQUITY GROUP, LLC
August 31, 1984 - June 6, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
October 13, 1983 - September 28, 1984
BECKER PARIBAS INCORPORATED
February 15, 1978 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
December 2, 1977 - October 4, 1983
LEHMAN BROTHERS KUHN LOEB INCORPORATED
September 16, 1977 - February 16, 1978
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
April 12, 1973 - February 27, 1976
BACHE & 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
Series 5
Date: 4/11/1997
Interest Rate Options ExaminationPC
Date: 4/28/1983
AMEX Put and Call ExamSeries 1
Date: 4/9/1973
Registered Representative ExaminationSeries 8
Date: 4/16/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
