EF
Elizabeth Funk
MESIROW FINANCIAL
Wheat Ridge, CO
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CRD#: 4981893
EF
Professional summary
Elizabeth Funk, who also goes by Elizabeth Ann Funk, Elizabeth Ann Nielsen, is a registered financial professional currently at MESIROW FINANCIAL, INC. located in Wheat Ridge, Colorado.
Elizabeth is registered as a RR (Registered Representative) and started their career in finance in 2007. Elizabeth has worked at 4 firms and has passed the Series 63, Series 52TO, Series 50, SIE, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Elizabeth Ann Funk | Elizabeth Ann Nielsen
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 Elizabeth Funk'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
June 30, 2022 - Present
MESIROW FINANCIAL, INC.
BD
CRD#: 2764
Wheat Ridge, CO
Past
July 8, 2019 - July 21, 2022
HILLTOP SECURITIES INC.
BD
CRD#: 6220
Denver, CO
Past
March 7, 2016 - June 21, 2019
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Denver, CO
Past
August 31, 2007 - January 19, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
DENVER, CO
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(12/5/2023)
RR
Alaska(12/5/2023)
RR
Arizona(12/5/2023)
RR
Arkansas(12/5/2023)
RR
California(12/5/2023)
RR
Colorado(6/30/2022)
RR
Connecticut(12/5/2023)
RR
Delaware(12/5/2023)
RR
District of Columbia(12/5/2023)
RR
Florida(12/15/2022)
RR
Georgia(12/5/2023)
RR
Hawaii(12/5/2023)
RR
Idaho(12/5/2023)
RR
Illinois(6/30/2022)
RR
Indiana(12/5/2023)
RR
Iowa(12/5/2023)
RR
Kansas(12/5/2023)
RR
Kentucky(12/5/2023)
RR
Louisiana(12/5/2023)
RR
Maine(12/5/2023)
RR
Maryland(12/5/2023)
RR
Massachusetts(12/5/2023)
RR
Michigan(12/5/2023)
RR
Minnesota(12/5/2023)
RR
Mississippi(12/5/2023)
RR
Missouri(12/5/2023)
RR
Montana(12/5/2023)
RR
Nebraska(12/5/2023)
RR
Nevada(12/5/2023)
RR
New Hampshire(12/5/2023)
RR
New Jersey(12/5/2023)
RR
New Mexico(12/5/2023)
RR
New York(6/30/2022)
RR
North Carolina(12/5/2023)
RR
North Dakota(12/5/2023)
RR
Ohio(12/7/2023)
RR
Oklahoma(12/5/2023)
RR
Oregon(12/5/2023)
RR
Pennsylvania(12/5/2023)
RR
Rhode Island(12/5/2023)
RR
South Carolina(12/5/2023)
RR
South Dakota(12/5/2023)
RR
Tennessee(12/5/2023)
RR
Texas(12/5/2023)
RR
Utah(12/5/2023)
RR
Vermont(12/5/2023)
RR
Virginia(12/5/2023)
RR
Washington(12/5/2023)
RR
West Virginia(12/5/2023)
RR
Wisconsin(12/5/2023)
RR
Wyoming(12/5/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
