Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Edward Gaines is an investment advisor representative with Mesirow Financial Investment Management, Inc. based in Highland Park, IL. Gaines has been in the industry since 2011 and has a wide range of experience. He has specialized in a variety of investment strategies and works with a diverse client base. Prior to joining Mesirow Financial, Gaines held positions at SAXONY SECURITIES, INC. and ROTHSCHILD INVESTMENT CORPORATION. He holds Series 66, Series 7, Series 99TO, and SIE licenses. Gaines is registered with the following states: Arizona, California, Colorado, Connecticut, District of Columbia, Florida, Illinois, Indiana, Massachusetts, Minnesota, New Hampshire, New Jersey, North Dakota, Oklahoma, Pennsylvania, South Dakota, Texas, Utah, Virginia, and Wisconsin.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
IL
11/15/2016 - Present
Mesirow Financial Investment Management, Inc. (Highland Park IL)
IL
07/23/2012 - 02/25/2015
SAXONY SECURITIES, INC. (CHICAGO IL)
IL
05/11/2011 - 07/20/2012
ROTHSCHILD INVESTMENT CORPORATION (CHICAGO IL)
BOTH
Issued 11/09/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/04/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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