CRD #2764 · FINRA BrokerCheck + SEC IAPD

Mesirow Financial, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Mesirow Financial, Inc. ranks #328 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #15 of 200 on the same disclosure sort used on the state browse page. Mesirow Financial, Inc. carries 19 BrokerCheck disclosures across 41 branch offices - moderate load for a mid-sized firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
41
branch offices
19
disclosures
#328 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 2764 Mesirow Financial, Inc.

Mesirow Financial, Inc. · Grade C · 19 disc · 0.46/office · Mid-sized firm

  • CRD 2764
  • GRADE C
  • DISC 19
  • REG 18
  • ARB 0
  • CIV 1
  • BRANCH 41
  • PER-OFF 0.46
  • RANK #328 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Btig, LLC (0.46 disc/office)

Btig, LLC0.46A.G.P. / Alliance Globa…0.47Jonestrading0.43Mesirow Financial, … (this)0.46
Disclosures per office among mid-sized firm peers (lower is cleaner)

Mesirow Financial, Inc. ranks #328 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.46 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

41 offices

FINRA: Medium firm

Total disclosures

19 events

On FINRA BrokerCheck

Regulatory events

18 actions

95% of all disclosures

Disclosures per office

0.46 per office

19 ÷ 41 offices

Mesirow Financial, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 63% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). This entry sits in this band. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 18
Arbitrations 0
Civil Events 1
Total 19

Counts for Mesirow Financial, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 18 Arbitration 0 Civil 1

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Chicago, IL
CRD Number
2764

Regulator-heavy mix

Mesirow Financial, Inc. in the heavier-disclosure third

Mesirow Financial, Inc. carries 19 BrokerCheck disclosures across 41 branch offices - a heavier-third raw book among graded firms (#328 of 20,055). Regulator-initiated events are 95% of the book (18 regulatory / 0 arbitration / 1 civil).

95% of Mesirow Financial, Inc.'s 19 disclosures are regulator-initiated (18 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Mesirow Financial, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Illinois cohort · 3.73× state average

Mesirow Financial, Inc. sits above the Illinois disclosure average

Mesirow Financial, Inc. reports 19 BrokerCheck disclosures, 3.73× the Illinois average of 5.1 across 200 graded firms with a principal-office state on file.

In Illinois, 99 firms carry Grade A and 8 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Illinois state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Mesirow Financial, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Mesirow Financial, Inc. ranks #328 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #15 of 200 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for Mesirow Financial, Inc.?
A grade of C reflects Mesirow Financial, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 19 total disclosures across 41 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Mesirow Financial, Inc. have?
Mesirow Financial, Inc. has 19 total FINRA disclosures, including 18 regulatory events, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Mesirow Financial, Inc.?
Mesirow Financial, Inc. operates 41 branch offices and is classified by FINRA as a medium firm, registered in IL (Mid-sized firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Mesirow Financial, Inc.'s disciplinary record?
You can verify Mesirow Financial, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 2764. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Mesirow Financial, Inc.'s 19 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Mesirow Financial, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Mesirow Financial, Inc. carries 19 disclosures across 41 branch offices (about 0.46 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Mesirow Financial, Inc., both outside IL so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Btig, LLC (CA) - 0.46 disclosures/office, nearest mid-sized firm peer to Mesirow Financial, Inc.'s 0.46
  • A.G.P. / Alliance Global Partners (CT) - 0.47 disclosures/office, nearest mid-sized firm peer to Mesirow Financial, Inc.'s 0.46
  • Jonestrading (CA) - 0.43 disclosures/office, nearest mid-sized firm peer to Mesirow Financial, Inc.'s 0.46
  • Firms in IL - state roster that includes Mesirow Financial, Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade C firm like Mesirow Financial, Inc..
  • Reading BrokerCheck Reports - How Mesirow Financial, Inc.'s 0.46 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Mesirow Financial, Inc..
  • Compare firms - put Mesirow Financial, Inc. next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.