# EDGAR Filing Document

**Accession Number:** 0000712807
**File Stem:** 0000712807-25-000011
**Filing Date:** 2025-9
**Character Count:** 15969
**Document Hash:** c0c55ccd2b70b72c2d6be11b90a161f8
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000712807-25-000011.hdr.sgml**: 20251119

**ACCESSION NUMBER**: 0000712807-25-000011

**CONFORMED SUBMISSION TYPE**: MA/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20250923

**DATE AS OF CHANGE**: 20251119

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** MESIROW FINANCIAL, INC.
- **CENTRAL INDEX KEY:** 0000712807

**ORGANIZATION NAME:**
- **EIN:** 363194849
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 0331

**FILING VALUES:**
- **FORM TYPE:** MA/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-01042
- **FILM NUMBER:** 251497981

**BUSINESS ADDRESS:**
- **STREET 1:** 353 N. CLARK STREET
- **CITY:** CHICAGO
- **STATE:** IL
- **ZIP:** 60654
- **BUSINESS PHONE:** 312-595-6512

**MAIL ADDRESS:**
- **STREET 1:** 353 N. CLARK STREET
- **CITY:** CHICAGO
- **STATE:** IL
- **ZIP:** 60654

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** MESIROW FINANCIAL INC                                   /BD
- **DATE OF NAME CHANGE:** 20020516

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** MESIROW CAPITAL INC /IL/                                /BD
- **DATE OF NAME CHANGE:** 19910807

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PEMBROKE CLEARING CORP                                  /BD
- **DATE OF NAME CHANGE:** 19890815

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0000712807

**Filer CCC:** XXXXXXXX

**Contact Name:** Laura Lewandowski

**Contact Phone:** 312-595-6238

**Contact Email:** laura.lewandowski@mesirow.com

**Notification Emails:** laura.lewandowski@mesirow.com, maryjo.hayes@mesirow.com, jamie.shields@mesirow.com, alexis.dalton@mesirow.com, maria.kaufman@mesirow.com

### Type of Filing

**Selected Filing Type:** Amendment

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** MESIROW FINANCIAL, INC.

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 2764

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 36-3194849

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00253-00

- **Municipal Advisor:** SEC File No: 867-01042

- **Broker-Dealer:** SEC File No: 008-28816, CRD No: 2764

**E. Principal Office and Place of Business:** 353 N. Clark Street, Chicago, IL, 60654

**Telephone Number:** 312-595-6000

**Additional Offices of Employment:**

- **Office #1 (Add):** 140 E. 45th Street, 30th Floor, New York, NY, 10017 | Phone: 2124253200

- **Office #2 (Add):** 46 Prospect Street, Hartford, CT, 06103 | Phone: 8004530600

- **Office #3 (Add):** 125 West Street, Suite 200, Annapolis, MD, 21401 | Phone: 8004530600

- **Office #4 (Add):**  | Phone: 8004530600

- **Office #5 (Add):**  | Phone: 7133339375

**Mailing Address is Different from Principal Office:** No

**F. Website:** https://www.mesirowfinancial.com

**G. Chief Compliance Officer (CCO):**

**Name:** MaryJo Moon Hayes

**Address:** 353 N. Clark Street, Chicago, IL, 60654

**Phone Number:** 312-595-6512

**Email:** maryjo.hayes@mesirow.com

**I. Location of Books and Records:** Yes

### Item 2: Form of Organization

**A. Applicant's form of organization:** Corporation

**B. Month of Applicant's Annual Fiscal Year End:** March

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** DE

**D. Date of Organization:** 10-12-1982

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 166

**B. Municipal Advisory Activities - Employees:** 14

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 14

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 3

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities, Other

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Other
, Other

**I. Compensation Arrangements (Municipal Advisory):** 
Hourly Charges
Contingent Fees
, Hourly Charges, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice Use Of MD, Other

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** 

**Total Associated Persons:** 0

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** No

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** —

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** Yes

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** Yes

- **SEC/CFTC Imposed Civil Penalty?:** Yes

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** No

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** No

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** No

### Schedule A: Direct Owners and Executive Officers

| Name                             | Title/Status                      | Date Acquired   | Ownership Code            | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Mesirow Financial Holdings, Inc. | Majority Owner                    | 10-30-1992      | E - 75% or more           | No                | 36-3498919   |  |
| Mesirow Financial Services, Inc. | Minority Owner                    | 01-01-1994      | B - 10% but less than 25% | No                | 36-2933608   |  |
| Richard Scott Price              | Director                          | 09-25-2012      | NA - less than 5%         | Yes               |  | 367760       |
| Mary Jo Moon Hayes               | Chief Compliance Officer          | 04-01-2021      | NA - less than 5%         | No                |  | 1196353      |
| Todd E Waldrop                   | Senior Managing Director          | 04-01-2016      | NA - less than 5%         | No                |  | 4194147      |
| Natalie A Brown                  | Chief Financial Officer, Director | 08-28-2018      | NA - less than 5%         | Yes               |  | 4194147      |
| Jeffrey Michael Levine           | CEO, President, COO, Director     | 05-10-2021      | NA - less than 5%         | Yes               |  | 5627249      |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity   | Name                             | Title/Status                      | Date Acquired   | Ownership Code            | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | Mesirow Financial Holdings, Inc. | Majority Owner                    | 10-30-1992      | E - 75% or more           | No                | 36-3498919   |  |
|  | Direct      |  | Mesirow Financial Services, Inc. | Minority Owner                    | 01-01-1994      | B - 10% but less than 25% | No                | 36-2933608   |  |
|  | Direct      |  | Richard Scott Price              | Director                          | 09-25-2012      | NA - less than 5%         | Yes               |  | 367760       |
|  | Direct      |  | Mary Jo Moon Hayes               | Chief Compliance Officer          | 04-01-2021      | NA - less than 5%         | No                |  | 1196353      |
|  | Direct      |  | Todd E Waldrop                   | Senior Managing Director          | 04-01-2016      | NA - less than 5%         | No                |  | 4194147      |
| Delete | Direct      |  | Natalie A Brown                  | Chief Financial Officer, Director | 08-28-2018      | NA - less than 5%         | Yes               |  | 4194147      |
| Amend  | Direct      |  | Jeffrey Michael Levine           | President, COO                    | 05-10-2021      | NA - less than 5%         | Yes               |  | 5627249      |
| NewAdd | Direct      |  | Chris Dwayne Farr                | CFO                               | 08-01-2025      | NA - less than 5%         | No                |  | 3239925      |
| NewAdd | Direct      |  | Jesse Joseph Keig                | Director                          | 08-01-2025      | NA - less than 5%         | Yes               |  | 5268961      |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Mesirow Financial, Inc.

- **CRD Number:** 2764

- **Disclosure Number:** 1707198

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Mesirow Financial, Inc.

- **CRD Number:** 2764

- **Disclosure Number:** 1641756

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Mesirow Financial, Inc.

- **CRD Number:** 2764

- **Disclosure Number:** 1513909

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Mesirow Financial, Inc.

- **CRD Number:** 2764

- **Disclosure Number:** 1479861

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Mesirow Financial, Inc.

- **CRD Number:** 2764

- **Disclosure Number:** 1431616

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Mesirow Financial, Inc.

- **CRD Number:** 2764

- **Disclosure Number:** 1370309

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Mesirow Financial, Inc.

- **CRD Number:** 2764

- **Disclosure Number:** 1155402

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Mesirow Financial, Inc.

- **CRD Number:** 2764

- **Disclosure Number:** 1076749

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Mesirow Financial, Inc.

- **CRD Number:** 2764

- **Disclosure Number:** 1001049

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Mesirow Financial, Inc. (former affiliate Mesirow Investment Services, Inc. that merged into firm)

- **CRD Number:** 2765

- **Disclosure Number:** 677868

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Mesirow Financial, Inc.

- **CRD Number:** 2764

- **Disclosure Number:** 278982

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Mesirow Financial, Inc.

- **CRD Number:** 2764

- **Disclosure Number:** 234368

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Mesirow Financial, Inc.

- **CRD Number:** 2764

- **Disclosure Number:** 233545

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Mesirow Financial, Inc.

- **CRD Number:** 2764

- **Disclosure Number:** 109575

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Mesirow Financial, Inc.

- **CRD Number:** 2764

- **Disclosure Number:** 109570

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Mesirow Financial, Inc.

- **CRD Number:** 2764

- **Disclosure Number:** 1826186

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Mesirow Financial, Inc.

- **CRD Number:** 2764

- **Disclosure Number:** 1877853

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Mesirow Financial, Inc.

- **CRD Number:** 2764

- **Disclosure Number:** 1743815

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Mesirow Financial Inc.

- **CRD Number:** 2764

- **Disclosure Number:** 1997368

### Execution Page

**Signature:** Mary Jo Hayes

**Signer Name:** Mary Jo Hayes

**Title:** CCO

**Date:** 09-23-2025

**CRD Number:** 1196353