Lester A. Morris
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.
Lester Allan Morris was a registered financial professional .
Lester is a previously registered financial professional and started their career in finance in 1966. Lester had worked at 3 firms and has passed the Series 65, Series 63, Series 52TO, Series 7TO, SIE, PC, Series 1, Series 24, Series 53, Series 12, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2004 - October 5, 2023
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
January 3, 1998 - December 31, 2009
MESIROW FINANCIAL, INC.
July 9, 1992 - January 1, 1994
MESIROW INVESTMENT SERVICES, INC.
September 12, 1978 - June 17, 1986
MESIROW FINANCIAL, INC.
July 14, 1966 - October 5, 2023
MESIROW FINANCIAL, INC.
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 6/16/1977
AMEX Put and Call ExamSeries 1
Date: 7/13/1966
Registered Representative ExaminationSeries 12
Date: 5/20/1997
NYSE Branch Manager ExaminationSeries 40
Date: 7/21/1971
Registered Principal 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
