Howard M. Rossman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Howard Marc Rossman was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1981. Howard had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 5, Series 7, Series 39, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2014 - January 9, 2019
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
January 17, 2002 - December 9, 2010
BRI PARTNERS LLC
April 3, 1998 - April 9, 2014
MESIROW ADVANCED STRATEGIES INC
April 2, 1990 - January 9, 2019
MESIROW FINANCIAL, INC.
December 19, 1986 - April 18, 1990
MESIROW INVESTMENT SERVICES, INC.
July 29, 1985 - January 6, 1987
MESIROW FINANCIAL, INC.
June 23, 1981 - August 7, 1985
RODMAN & RENSHAW INC.
Primary Firm SEC Registration
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
CRD#: 111135 / SEC#: 801-27047
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/20/1981
Interest Rate Options ExaminationSeries 8
Date: 1/3/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
CRD#: 111135 / SEC#: 801-27047
Contact information
SEC notice filing (52 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 14,109 |
| AUM (Assets Under Management) | $ 43,420,623,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/11/2025 | ||
| 07/18/2024 |
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.
