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AM

Alison T. Montgomery

MESIROW FINANCIAL
Chicago, IL 60654
Some features on this profile are disabled
CRD#: 6244190
AM

Professional summary

Alison Tierney Montgomery, who also goes by Alison Tierney Montgomery, Alison Goff Tierney, Alison Tierney, Ali Tierney, is a registered financial professional currently at MESIROW FINANCIAL, INC. located in Chicago, Illinois.

Alison is registered as a RR (Registered Representative) and started their career in finance in 2014. Alison has worked at 4 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alison Tierney Montgomery | Alison Goff Tierney | Alison Tierney | Ali Tierney

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 Alison Tierney Montgomery'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

July 12, 2018 - Present

MESIROW FINANCIAL, INC.

Office #1: 353 N. Clark Street, Chicago, IL 60654Office #2: 353 N. Clark Street, Chicago, IL 60654
BD
CRD#: 2764
Chicago, IL
Past

August 22, 2017 - July 9, 2018

LANCASTER POLLARD & CO., LLC

BD
CRD#: 24110
Chicago, IL
Past

September 25, 2014 - June 17, 2016

PRAIRIE CAPITAL MARKETS, LLC

BD
CRD#: 158309
OAKBROOK TERRACE, IL
Past

February 21, 2014 - September 4, 2014

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
CHICAGO, IL

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
Illinois
(7/12/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 4/14/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/22/2017
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 2/21/2014
General Securities Representative Examination
SRO Registrations
RR
FINRA

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MESIROW FINANCIAL HOLDINGS, INC.MAJORITY SHAREHOLDER
MESIROW FINANCIAL SERVICES, INC.MINORITY SHAREHOLDER
PRICE, RICHARD SCOTTDIRECTOR367760
FARR, CHRISTOPHER DAYNECFO3239925
HAYES, MARY JO MOONCHIEF COMPLIANCE OFFICER1196353
JACOBSON, STEPHEN DAVIDSENIOR MANAGING DIRECTOR1353790
KEIG, JESSE JOSEPHDIRECTOR5268961
LEVINE, JEFFREY MICHAELCEO/PRESIDENT5627249
OAKLEY, ADAM JOELSENIOR MANAGING DIRECTOR, INVESTMENT BANKING4795934
PRICE, BRIAN DAVIDCHAIRMAN, INVESTMENT BANKING DIVISION5192466
WALDROP, TODD E.SENIOR MANAGING DIRECTOR4194147

Disclosures

Regulatory Event18
Civil Event1
Bond2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

MESIROW FINANCIAL, INC.

CRD#: 2764Chicago, IL 60654

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