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Areas of Focus: Clearing, Execution and Other Services for Correspondent Broker/Dealers and Investment Advisors Profile: Head of the Broker/Dealer and Investment Advisor Services group at Mesirow Financial Previously served as the Chief Administrative Officer and Director of Compliance for the firm Joined Mesirow Financial in 1978 Registered as an Allied Member Holds NASD Series 3, Series 4, Series 7, Series 8, Series 14, Series 24, Series 53 Series 63 and Series 65 licenses Education: B.S., University of Illinois at Chicago M.A., University of Illinois at Chicago Affiliations: Securities Industry and Financial Markets Association (SIFMA), State Regulation & Legislation Committee, member SIFMA Central States Committee, chairperson SIFMA Legal & Compliance Roundtable, past member NASD Regulation, arbitrator Illinois SIA, president, past vice president and member of board of directors NASD District 8 Nominating Committee, chairperson NASD National Arbitration and Mediation Committee, past member NASD District Business Conduct Committee, past member Securities Industry/Regulatory Council on Continuing Education, past member Illinois Securities Advisory Committee, past member. | 