Robert W. Cartwright
Professional summary
Robert William Cartwright, who also goes by Moss Cartwright, is a registered financial professional currently at MESIROW FINANCIAL, INC. located in Chicago, Illinois.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1971. Robert has worked at 8 firms and has passed the Series 63, Series 79TO, Series 57TO, Series 7TO, SIE, Series 55, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert William Cartwright's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 19, 2010 - Present
MESIROW FINANCIAL, INC.
Office #1: 353 N. Clark Street, Chicago, IL 60654Office #2: 353 N. Clark Street, Chicago, IL 60654November 9, 1983 - January 27, 2010
WILLIAM BLAIR
December 18, 1980 - October 31, 1983
FIRST MID-AMERICA INC.
February 24, 1978 - January 17, 1981
MORGAN STANLEY DW INC.
June 30, 1976 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
September 16, 1975 - September 19, 1976
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
April 17, 1972 - October 10, 1975
J.P. MORGAN SECURITIES LLC
June 24, 1971 - May 20, 1972
BLYTH EASTMAN DILLON & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/23/2025)
(2/27/2012)
(1/19/2010)
(5/23/2025)
(5/23/2025)
(5/23/2025)
(2/5/2010)
(5/13/2025)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 55
Date: 4/13/2000
Limited Representative-Equity Trader ExamPC
Date: 10/3/1988
AMEX Put and Call ExamSeries 1
Date: 6/11/1971
Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
MESIROW FINANCIAL, INC.
CRD#: 2764 / SEC#: , 8-28816
Contact information
FINRA licenses (53 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 |
| HAYES, MARY JO MOON | CHIEF COMPLIANCE OFFICER | 1196353 |
| 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 |
| WALDROP, TODD E. | SENIOR MANAGING DIRECTOR | 4194147 |
Disclosures
| Regulatory Event | 18 |
| Civil Event | 1 |
| Bond | 2 |
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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