William R. Fowler
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.
William Robert Fowler, who also goes by Todd Fowler, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2002. William had worked at 3 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 2011 - June 27, 2013
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
June 13, 2011 - June 27, 2013
MESIROW FINANCIAL, INC.
March 15, 2002 - March 20, 2003
M3 INVESTMENT GROUP LLC
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
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.
