Steven M. Finkel
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.
Steven Mark Finkel was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1982. Steven had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2000 - January 3, 2018
MESIROW FINANCIAL, INC.
November 3, 1999 - December 4, 2000
OPPENHEIMER & CO. INC.
September 4, 1998 - July 8, 1999
UNICREDIT CAPITAL MARKETS LLC
April 5, 1995 - September 8, 1998
HYPO SECURITIES INC.
November 7, 1994 - March 14, 1995
MORGAN STANLEY DW INC.
June 14, 1994 - November 11, 1994
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
July 31, 1987 - December 23, 1993
BHF SECURITIES CORPORATION
September 24, 1984 - June 30, 1987
DRESDNER SECURITIES (USA) INC.
July 16, 1984 - September 10, 1984
ALEX. BROWN & SONS INCORPORATED
June 4, 1984 - July 30, 1984
DREXEL BURNHAM LAMBERT INCORPORATED
October 18, 1982 - June 25, 1984
SECURITY ASSET MANAGEMENT, INC.
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
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
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.
