Scott D. Tarnowicz
Professional summary
Scott David Tarnowicz, who also goes by Scott D Tarnowicz, is a registered financial professional currently at MESIROW FINANCIAL, INC. located in Chicago, Illinois.
Scott is registered as a RR (Registered Representative) and started their career in finance in 2007. Scott has worked at 2 firms and has passed the Series 65, Series 63, Series 52TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott David Tarnowicz's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 27, 2013 - Present
MESIROW FINANCIAL, INC.
Office #1: 353 N. Clark Street, Chicago, IL 60654Office #2: 353 N. Clark Street, Chicago, IL 60654September 24, 2007 - June 11, 2013
CITIGROUP GLOBAL MARKETS INC.
March 7, 2007 - June 11, 2013
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/6/2013)
(5/29/2015)
(6/27/2013)
(9/9/2013)
(7/10/2013)
(2/17/2021)
(9/13/2013)
(9/7/2019)
(4/14/2014)
(11/25/2014)
(8/12/2013)
(10/18/2013)
(8/26/2013)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
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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