Ricardo N. Jones

MESIROW FINANCIAL

Highland Park, IL 60035-3255

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CRD#: 5403462

Professional summary

Ricardo N. Jones, who also goes by Ricardo Neal Jones, Ricardo Jones, is a registered financial professional currently at MESIROW FINANCIAL, INC. located in Highland Park, Illinois.

Ricardo is registered as a RR (Registered Representative) and started their career in finance in 2007. Ricardo has worked at 5 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ricardo Neal Jones | Ricardo Jones

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ricardo N. Jones's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 2, 2022 - Present

MESIROW FINANCIAL, INC.

Office #1: 610 Central Avenue Suite 200, Highland Park, IL 60035-3255

CRD#: 2764

Highland Park, IL

Past

June 7, 2017 - February 18, 2022

J.P. MORGAN SECURITIES LLC

CRD#: 79

CHICAGO, IL

Past

May 24, 2016 - August 3, 2016

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

FORT LAUDERDALE, FL

Past

June 3, 2010 - December 31, 2010

PFS INVESTMENTS INC.

CRD#: 10111

MIAMI LAKES, FL

Past

December 4, 2007 - April 22, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

NORTH MIAMI BEACH, FL

Past

October 26, 2007 - April 22, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

NORTH MIAMI BEACH, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Illinois
(3/2/2022)

New York
(3/2/2022)

Exams

State Security Law Exam

Series 63

Date: 11/17/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/1/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/24/2016

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

MESIROW FINANCIAL, INC.

MESIROW & COMPANY | PEMBROKE CLEARING CORPORATION | MESIROW FINANCIAL, INC. | MESIROW CAPITAL, INC. | MESIROW & COMPANY, INCORPORATED

CRD#: 2764 / SEC#: , 8-28816

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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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Ricardo N. Jones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ricardo N. Jones's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

MSI FINANCIAL SERVICES, INC.

PFS INVESTMENTS INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/17/2018

Series 66

Date: 12/1/2007

SIE

Date: 10/1/2018

Series 7

Date: 5/24/2016

FINRA

Nasdaq Stock Market

Current Firm

MESIROW FINANCIAL, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MESIROW FINANCIAL, INC.

TRUST BUT VERIFY

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