Richard Scott Price
Professional Summary
Richard Scott Price is a registered financial advisor currently at MESIROW FINANCIAL, INC. located in Chicago, Illinois. Richard is registered as a RR (Registered Representative) and started their career in finance in 1973. Richard has worked at 2 firms and has passed the Series 7TO, SIE, PC and Series 1 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
53 years in the financial services industry
Current & Past Employments
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Current Firm
MESIROW & COMPANY | PEMBROKE CLEARING CORPORATION | MESIROW FINANCIAL, INC. | MESIROW CAPITAL, INC. | MESIROW & COMPANY, INCORPORATED
Contact Information
Main Address
353 N. Clark Street, Chicago, IL 60654Mailing Address
353 N. Clark Street, Chicago, IL 60654Phone Number
(312) 595-6000Established
Delaware since 10/12/1982Firm Type
CorporationFiscal Year End
MarchFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MESIROW FINANCIAL HOLDINGS, INC. | MAJORITY SHAREHOLDER | — |
| MESIROW FINANCIAL SERVICES, INC. | MINORITY SHAREHOLDER | — |
| PRICE, RICHARD SCOTT | DIRECTOR | 367760 |
| JACOBSON, STEPHEN DAVID | SENIOR MANAGING DIRECTOR | 1353790 |
| KEIG, JESSE JOSEPH | CFO | 5268961 |
| LEVINE, JEFFREY MICHAEL | CEO/PRESIDENT | 5627249 |
| OAKLEY, ADAM JOEL | SENIOR MANAGING DIRECTOR, INVESTMENT BANKING | 4795934 |
| PRICE, BRIAN DAVID | CHAIRMAN, INVESTMENT BANKING DIVISION | 5192466 |
| SHIELDS, JAMES | CHIEF COMPLIANCE OFFICER | 2927398 |
| WALDROP, TODD E. | SENIOR MANAGING DIRECTOR | 4194147 |
Disclosures
Regulatory Event
18Civil Event
1Bond
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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.
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State Registrations and Notice Filings
(4/24/2003)
(1/1/1994)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed Jun 1977Series 1 — Registered Representative Examination
Passed Jun 1973SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard Scott Price's CRS (Customer Relationship Summary).
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