DD
Dustin M. Downs
MESIROW FINANCIAL
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 4760743
DD
Professional summary
Dustin Michael Downs, who also goes by Dustin Michael Downs, Dustin Downs, is a registered financial professional currently at MESIROW FINANCIAL, INC. located in New York, New York.
Dustin is registered as a RR (Registered Representative) and started their career in finance in 2006. Dustin has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dustin Michael Downs | Dustin Downs
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.
CRS (Client Relationship Summary) - BD
Click below to view Dustin Michael Downs's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 19, 2025 - Present
MESIROW FINANCIAL, INC.
Office #1: 140 East 45 Street Suite 31(b), New York, NY 10017BD
CRD#: 2764
NEW YORK, NY
Past
December 2, 2024 - November 7, 2025
COHEN & COMPANY SECURITIES, LLC
BD
CRD#: 149758
NEW YORK, NY
Past
April 1, 2021 - December 16, 2024
BOK FINANCIAL SECURITIES, INC.
BD
CRD#: 17530
Stamford, CT
Past
October 30, 2020 - April 6, 2021
PNC CAPITAL MARKETS LLC
BD
CRD#: 15647
NEW YORK, NY
Past
November 22, 2016 - October 29, 2020
BMO CAPITAL MARKETS CORP.
BD
CRD#: 16686
NEW YORK, NY
Past
July 18, 2016 - November 7, 2016
WHITAKER SECURITIES LLC
BD
CRD#: 121465
NEW YORK, NY
Past
May 29, 2015 - March 14, 2016
MAREX CAPITAL MARKETS INC.
BD
CRD#: 161014
NEW YORK, NY
Past
March 5, 2014 - May 15, 2015
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
NEW YORK, NY
Past
July 16, 2013 - March 19, 2014
BANC OF MANHATTAN CAPITAL
BD
CRD#: 149880
NEW YORK, NY
Past
April 18, 2006 - August 9, 2013
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/19/2025)
RR
Alaska(11/19/2025)
RR
Arizona(11/19/2025)
RR
Arkansas(11/19/2025)
RR
California(11/19/2025)
RR
Colorado(11/19/2025)
RR
Connecticut(11/19/2025)
RR
Delaware(11/19/2025)
RR
District of Columbia(11/19/2025)
RR
Florida(11/19/2025)
RR
Georgia(11/19/2025)
RR
Hawaii(11/19/2025)
RR
Idaho(11/19/2025)
RR
Illinois(11/19/2025)
RR
Indiana(11/19/2025)
RR
Iowa(11/19/2025)
RR
Kansas(11/19/2025)
RR
Kentucky(11/19/2025)
RR
Louisiana(11/19/2025)
RR
Maine(11/19/2025)
RR
Maryland(11/19/2025)
RR
Massachusetts(11/19/2025)
RR
Michigan(11/19/2025)
RR
Minnesota(11/19/2025)
RR
Mississippi(11/19/2025)
RR
Missouri(11/19/2025)
RR
Montana(11/19/2025)
RR
Nebraska(11/19/2025)
RR
Nevada(11/19/2025)
RR
New Hampshire(11/19/2025)
RR
New Jersey(11/19/2025)
RR
New Mexico(11/19/2025)
RR
New York(11/19/2025)
RR
North Carolina(11/19/2025)
RR
North Dakota(11/19/2025)
RR
Ohio(11/19/2025)
RR
Oklahoma(11/19/2025)
RR
Oregon(11/19/2025)
RR
Pennsylvania(11/19/2025)
RR
Puerto Rico(11/19/2025)
RR
Rhode Island(11/19/2025)
RR
South Carolina(11/19/2025)
RR
South Dakota(11/19/2025)
RR
Tennessee(11/19/2025)
RR
Texas(11/19/2025)
RR
Utah(11/19/2025)
RR
Vermont(11/19/2025)
RR
Virgin Islands(11/19/2025)
RR
Virginia(11/19/2025)
RR
Washington(11/19/2025)
RR
West Virginia(11/19/2025)
RR
Wisconsin(11/19/2025)
RR
Wyoming(11/19/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
MF
MESIROW FINANCIAL, INC.
MESIROW & COMPANY | PEMBROKE CLEARING CORPORATION | MESIROW FINANCIAL, INC. | MESIROW CAPITAL, INC. | MESIROW & COMPANY, INCORPORATED
CRD#: 2764 / SEC#: , 8-28816
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
353 N. Clark Street, Chicago, IL 60654
Mailing Address
353 N. Clark Street, Chicago, IL 60654
Phone number
(312) 595-6000
Established
Delaware since 10/12/1982
Firm type
Corporation
Fiscal year end
March
Firm Size
Medium
# of Employees
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
