Nicholas Anthony Moriarty
Investment adviser representative at Mesirow Financial Investment Management, Inc.
11 yearsExperience
2 statesRegistered in
$50.4BFirm assets
40 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsPerformance-based
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
Experience
11 years in the industry.
- Mesirow Financial Investment Management, Inc.Sep 2023 to now
- Mesirow Financial, Inc. (mfi)Aug 2023 to now
- Mariner Wealth AdvisorsOct 2022 to Aug 2023
- Newedge Advisors, LLC (gwm Advisors, LLC)Nov 2019 to Oct 2022
- LPL Financial, LLCSep 2017 to Oct 2022
- Wealth Enhancement Advisory Services, LLCSep 2017 to Oct 2019
- Wealth Enhancement Brokerage ServicesSep 2017 to Oct 2019
- Ameriprise Financial Services, Inc.Aug 2015 to Sep 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law2011
- Series 65 · Uniform Investment Adviser Law2015
State registrations
Registered as an investment adviser representative in 2 states (IL, MN).
Mesirow Financial Investment Management, Inc.
$50.4BAssets managed
90,291Clients
88Advisers
40 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5953071
- Firm CRD
- 111135