Sean F. Robertson

MESIROW FINANCIAL

Boston, MA 02110

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CRD#: 6311386

Professional summary

Sean Fredrick Robertson, who also goes by Sean Robertson, is a registered financial professional currently at MESIROW FINANCIAL, INC. located in Boston, Massachusetts.

Sean is registered as a RR (Registered Representative) and started their career in finance in 2014. Sean has worked at 3 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sean Robertson

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 Sean Fredrick Robertson'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

February 18, 2020 - Present

MESIROW FINANCIAL, INC.

Office #1: 100 High Street Suite 630, Boston, MA 02110

CRD#: 2764

Boston, MA

Past

May 21, 2019 - February 4, 2020

BFC CAPITAL LLC

CRD#: 299519

QUINCY, MA

Past

April 8, 2014 - April 30, 2019

WATERWAY CAPITAL LLC

CRD#: 128212

BOSTON, MA

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

Connecticut
(1/9/2025)

Florida
(12/16/2022)

Illinois
(2/18/2020)

Massachusetts
(4/1/2022)

New Jersey
(12/7/2023)

New York
(2/18/2020)

North Carolina
(12/7/2023)

Oregon
(12/7/2023)

Pennsylvania
(12/16/2022)

Exams

State Security Law Exam

Series 63

Date: 4/27/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 4/2/2015

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 4/8/2014

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/13/2023

General Securities Principal 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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Advisor Monitoring

Firm Stability Insights

Sean F. Robertson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sean Fredrick Robertson's CRS (Customer Relationship Summary).

Certified licenses

Experience

BFC CAPITAL LLC

WATERWAY CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/27/2015

SIE

Date: 10/1/2018

Series 79

Date: 4/2/2015

Series 7

Date: 4/8/2014

Series 24

Date: 12/13/2023

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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