JM
James M. Mccormick
MESIROW FINANCIAL
Stamford, CT 06901
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CRD#: 5352170
JM
Professional summary
James Matthew Mccormick, who also goes by James Matthew Mccormick, Matt Mccormick, is a registered financial professional currently at MESIROW FINANCIAL, INC. located in Stamford, Connecticut.
James is registered as a RR (Registered Representative) and started their career in finance in 2007. James has worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Matthew Mccormick | Matt Mccormick
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 James Matthew Mccormick'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 5, 2025 - Present
MESIROW FINANCIAL, INC.
Office #1: 281 Tresser Boulevard Suite 1505, Stamford, CT 06901BD
CRD#: 2764
Stamford, CT
Past
May 17, 2023 - October 24, 2025
FRED ALGER & COMPANY, LLC
BD
CRD#: 5300
NEW YORK, NY
Past
April 28, 2022 - May 8, 2023
BARINGS SECURITIES LLC
BD
CRD#: 36929
CHARLOTTE, NC
Past
March 18, 2015 - April 27, 2022
JANUS HENDERSON DISTRIBUTORS US LLC
BD
CRD#: 28832
DENVER, CO
Past
July 30, 2007 - March 26, 2015
SANFORD C. BERNSTEIN & CO., LLC
BD
CRD#: 104474
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(11/5/2025)
RR
Alaska(11/5/2025)
RR
Arizona(11/5/2025)
RR
Arkansas(11/5/2025)
RR
California(11/5/2025)
RR
Colorado(11/5/2025)
RR
Connecticut(11/5/2025)
RR
Delaware(11/5/2025)
RR
District of Columbia(11/5/2025)
RR
Florida(11/5/2025)
RR
Georgia(11/5/2025)
RR
Hawaii(11/5/2025)
RR
Idaho(11/5/2025)
RR
Illinois(11/5/2025)
RR
Indiana(11/5/2025)
RR
Iowa(11/5/2025)
RR
Kansas(11/5/2025)
RR
Kentucky(11/5/2025)
RR
Louisiana(11/5/2025)
RR
Maine(11/5/2025)
RR
Maryland(11/5/2025)
RR
Massachusetts(11/5/2025)
RR
Michigan(11/5/2025)
RR
Minnesota(11/5/2025)
RR
Mississippi(11/5/2025)
RR
Missouri(11/5/2025)
RR
Montana(11/5/2025)
RR
Nebraska(11/5/2025)
RR
Nevada(11/5/2025)
RR
New Hampshire(11/5/2025)
RR
New Jersey(11/5/2025)
RR
New Mexico(11/5/2025)
RR
New York(11/5/2025)
RR
North Carolina(11/5/2025)
RR
North Dakota(11/5/2025)
RR
Ohio(11/5/2025)
RR
Oklahoma(11/5/2025)
RR
Oregon(11/5/2025)
RR
Pennsylvania(11/5/2025)
RR
Puerto Rico(11/5/2025)
RR
Rhode Island(11/5/2025)
RR
South Carolina(11/5/2025)
RR
South Dakota(11/5/2025)
RR
Tennessee(11/5/2025)
RR
Texas(11/5/2025)
RR
Utah(11/5/2025)
RR
Vermont(11/5/2025)
RR
Virgin Islands(11/5/2025)
RR
Virginia(11/5/2025)
RR
Washington(11/5/2025)
RR
West Virginia(11/5/2025)
RR
Wisconsin(11/5/2025)
RR
Wyoming(11/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General 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 |
| 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
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.
