Ruth C. Hannenberg
Senior Managing Director, B/D and IA Services
Executive Committee Member, Board of Directors

350 N. Clark St.
Chicago, IL 60610

312-595-6239

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