Thomas R. Wille
Professional summary
Thomas Richard Wille is a registered financial professional currently at MESIROW FINANCIAL, INC. located in Chicago, Illinois.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1981. Thomas has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Richard Wille's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 9, 2009 - Present
MESIROW FINANCIAL, INC.
Office #1: 353 N. Clark Street, Chicago, IL 60654Office #2: 353 N. Clark Street, Chicago, IL 60654April 11, 2005 - February 12, 2009
BARCLAYS CAPITAL INC.
May 4, 1984 - April 12, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 20, 1981 - April 12, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/26/2017)
(7/19/2011)
(10/5/2022)
(3/9/2009)
(12/16/2022)
(3/24/2011)
(2/28/2013)
(12/16/2022)
Exams
Series 8
Date: 11/12/1987
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Nasdaq Stock Market
Current Firm
MESIROW FINANCIAL, INC.
CRD#: 2764 / SEC#: , 8-28816
Contact information
FINRA licenses (53 States and Territories)
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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