Richard Liao
Professional summary
Richard Liao is a registered financial professional currently at MESIROW FINANCIAL, INC. located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2007. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Liao's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 15, 2022 - Present
MESIROW FINANCIAL, INC.
Office #1: 140 East 45 Street Suite 31(b), New York, NY 10017February 16, 2021 - November 29, 2021
BNP PARIBAS SECURITIES CORP.
April 5, 2016 - April 4, 2019
TD SECURITIES (USA) LLC
January 4, 2016 - February 29, 2016
FIRST EMPIRE SECURITIES, INC.
May 6, 2014 - June 16, 2015
SG AMERICAS SECURITIES, LLC
November 16, 2011 - March 27, 2014
RBC CAPITAL MARKETS, LLC
January 2, 2007 - October 25, 2011
BNP PARIBAS SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/7/2023)
(12/7/2023)
(2/15/2022)
(12/7/2023)
(11/2/2023)
(4/20/2022)
(2/15/2022)
(6/16/2022)
(12/7/2023)
Exams
FINRA
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 |
| FARR, CHRISTOPHER DAYNE | CFO | 3239925 |
| HAYES, MARY JO MOON | CHIEF COMPLIANCE OFFICER | 1196353 |
| JACOBSON, STEPHEN DAVID | SENIOR MANAGING DIRECTOR | 1353790 |
| KEIG, JESSE JOSEPH | DIRECTOR | 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
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