Chase M. Caldwell

MESIROW FINANCIAL

Boca Raton, FL 33432

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CRD#: 6301384

Professional summary

Chase Mckee Caldwell, who also goes by Chase Mckee Caldwell, is a registered financial professional currently at MESIROW FINANCIAL, INC. located in Boca Raton, Florida.

Chase is registered as a RR (Registered Representative) and started their career in finance in 2015. Chase has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chase Mckee Caldwell

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 Chase Mckee Caldwell'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 8, 2025 - Present

MESIROW FINANCIAL, INC.

Office #1: 225 Ne Mizner Boulevard Suite 600, Boca Raton, FL 33432

CRD#: 2764

Boca Raton, FL

Past

June 5, 2023 - July 7, 2025

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

November 13, 2020 - August 3, 2022

HALO SECURITIES, LLC

CRD#: 279029

CHICAGO, IL

Past

January 3, 2018 - September 14, 2020

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

Boca Raton, FL

Past

March 14, 2017 - December 1, 2017

INCAPITAL DISTRIBUTORS LLC

CRD#: 156622

BOCA RATON, FL

Past

January 4, 2017 - December 1, 2017

INSPEREX LLC

CRD#: 101420

BOCA RATON, FL

Past

September 30, 2015 - August 1, 2016

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

DUBLIN, OH

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

Florida
(7/8/2025)

Illinois
(7/8/2025)

New York
(7/8/2025)

Exams

State Security Law Exam

Series 63

Date: 3/10/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/27/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/30/2015

Investment Company Products/Variable Contracts 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

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.

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Firm Stability Insights

Chase M. Caldwell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Chase Mckee Caldwell's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHERN LIGHTS DISTRIBUTORS, LLC

HALO SECURITIES, LLC

ADVISORS ASSET MANAGEMENT, INC.

INCAPITAL DISTRIBUTORS LLC

INSPEREX LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 3/10/2017

SIE

Date: 10/1/2018

Series 7

Date: 2/27/2017

Series 6

Date: 9/30/2015

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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