Saurabh Tandon

Some features on this profile are disabled

CRD#: 4716285

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.

Saurabh Tandon was a registered financial professional .

Saurabh is a previously registered financial professional and started their career in finance in 2004. Saurabh had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 9, 2008 - July 6, 2012

MESIROW ADVANCED STRATEGIES INC

RIA

CRD#: 110754

CHICAGO, IL

Past

January 27, 2005 - December 31, 2009

MESIROW FINANCIAL, INC.

RIA

CRD#: 2764

CHICAGO, IL

Past

January 27, 2005 - July 6, 2012

MESIROW FINANCIAL, INC.

CRD#: 2764

CHICAGO, IL

Past

January 13, 2004 - January 31, 2005

BIRKELBACH INVESTMENT SECURITIES, INC.

CRD#: 11490

CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MESIROW ADVANCED STRATEGIES INC

CRD#: 110754 / SEC#: 801-36109

RIA

Registered Investment Advisory firm - (3/2/1990 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/26/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/27/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/12/2004

General Securities Representative Examination

Current Firm

MESIROW ADVANCED STRATEGIES INC

CRD#: 110754 / SEC#: 801-36109

RIA

Registered Investment Advisory firm - (3/2/1990 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

353 N. Clark Street, Chicago, IL 60654

Mailing Address

Phone number

(312) 595-7300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV 2A (8/4/2025)

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Saurabh Tandon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MESIROW ADVANCED STRATEGIES INC

MESIROW FINANCIAL, INC.

MESIROW FINANCIAL, INC.

BIRKELBACH INVESTMENT SECURITIES, INC.

Primary Firm SEC Registration

MESIROW ADVANCED STRATEGIES INC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/26/2004

Series 63

Date: 10/27/2003

Series 7

Date: 1/12/2004

Current Firm

MESIROW ADVANCED STRATEGIES INC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

MESIROW ADVANCED STRATEGIES INC

TRUST BUT VERIFY

Similar Advisors