Investment Advisory services offered through Mesirow Financial, Inc., Mesirow Financial Investment Management, Inc., Mesirow Advanced Strategies, Inc., Mesirow Financial Alternative Investments, LLC and Mesirow Financial Private Equity Advisors, Inc. For further information on the services offered and their associated fees, please request Part 2 of Form ADV.
Securities, investment services and investment banking services are offered through Mesirow Financial, Inc., Member FINRA, Member SIPC.
Mesirow Financial refers to Mesirow Financial Holdings, Inc. and its divisions, subsidiaries and affiliates. The Mesirow Financial name and logo are registered service marks of Mesirow Financial Holdings, Inc. © 2016, Mesirow Financial Holdings, Inc. All rights reserved.
Some investment options discussed in this Web site involve significant risk. This information is neither an offer to sell, or a solicitation of an offer to buy any of these securities. For more complete information, including charges and expenses, offering circulars are available upon request. Please read the offering circular carefully before you invest or send money.
Any testimonial(s) contained herein are representative of the experience of the specific party providing said testimonial and are not indicative of future performance or success. No compensation has been paid to any party regarding a testimonial.
Any reference to historical performance herein, does not guarantee future results.
In the United Kingdom, this communication is directed only at persons who (i) have professional experience in matters relating to investments or (ii) are persons falling within Article 49(2) (a) to (d) (“high net worth companies, unincorporated associations, etc.”) of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (all such persons together being referred to as “relevant persons”). This communication must not be acted on or relied on by persons who are not relevant persons. Any investment or investment activity to which this communication relates is available only to relevant persons and will be engaged in only with relevant persons.
Insurance proposals issued by Mesirow Insurance Services, Inc., are outlines of coverage offered by insurers. Mesirow Insurance Services, Inc., relies upon information provided by clients/prospects when preparing these proposals. If changes need to be made, please notify our office immediately. All changes are subject to review and acceptance by the insurance company. Proposals do not constitute a contract and do not include all the terms, coverage, exclusions, limitations or conditions of the actual contract language. The policies themselves must be read for those details. For your reference, policy forms will be made available upon request.
In addition to fees, commissions or other compensation retained by Mesirow Insurance Services, Inc. (“MIS”), it is understood that in some circumstances other parties necessary to arrange placement of coverage may earn usual and customary commissions and/or fees in the course of providing insurance products.
In addition, as is a common practice in the industry, MIS benefits from programs implemented by certain insurers, wholesale brokers (property & casualty) and administrators (benefits) providing for compensation, in addition to commissions and fees, to be paid to MIS based upon differing factors. This additional compensation may include non-cash awards and benefits. The insurance you purchase through MIS may be issued by an insurer, wholesale broker (property & casualty) or administrator (benefits) who has such a program. Further, MIS may receive fees from premium finance transactions (property & casualty). Additionally, MIS may share non-identifiable commercial insurance program data with third-parties for benchmarking purposes (property & casualty). Should you have specific questions concerning MIS' compensation or data sharing, please contact your MIS executive.
You should not construe information on this site as rendering tax or legal advice. Mesirow Financial Holdings, Inc. or any of its affiliates does not provide tax or legal advice. The products and services mentioned on the site may have tax consequences and, therefore, you should consult your tax advisor in order to understand the tax consequences of any product or service mentioned on this site.
Mesirow Financial’s e-view is a registered trademark of Mesirow Financial.
NEW ACCOUNT PROCEDURES
To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account.
What this means for you: When you open an account, we will ask for your name, address, date of birth and other information that will allow us to identify you. We may also ask to see your driver's license or other identifying documents.
We Are Committed to Protecting Your Personal Information
Financial companies have certain legal obligations with respect to the sharing of client information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share and protect your personal information. Please read this notice carefully to understand what we do. At Mesirow Financial, we strive to provide you with the highest level of service and quality of products. In that regard, the privacy of the information you provide to us is important and we want to assure you that we are committed to protecting your privacy. This Privacy Statement outlines the types of information we gather about you, how we use it and with whom we might share it. We urge you to read this Privacy Notice so that you will understand our commitment to you and to your privacy.
The Types of Personal Information We Collect
In order to provide you with the highest level of service possible, it is necessary for us to collect and maintain certain personal information about you. We collect this information from applications and other forms, from your dealings with us and others and, depending upon the services and products you have requested or for which we have been asked to provide, we may also receive information from consumer reporting agencies and other sources such as our website.
- Information contained in applications and other forms including, but not limited to, your name, address, social security number, family member information, beneficiaries, occupation, birth date, email addresses, telephone numbers, bank account numbers, Driver’s license, Passport, assets and income;
- Information concerning your relationships with us such as products or services purchased from us, account balances and transactions and payment history;
- Information from consumer reporting agencies such as credit bureau reports and related history; and
- Information from visits to our website such as site visitorship data, and online data collection devices known as "cookies."
When you are no longer our customer, we may continue to share your information as described in this notice.
Third Party Links
The Mesirow Financial website and its communications to clients may contain links to other web sites that are not affiliated or controlled by Mesirow Financial. Mesirow Financial does not endorse any products or services that may be referenced in these web sites; and, is not responsible for the security or privacy practices of such sites. Further, Mesirow Financial cannot provide assurances that any internet communications utilized with clients could be compromised or misused.
How Personal Information Is Used
We use personal information in ways that are compatible with the purposes for which we originally requested it. Mesirow Financial may use your personal information for the purpose of processing your requests and transactions, offering or furnishing additional products through our affiliates; and, services or to evaluate your financial needs. Mesirow Financial does not share your personal information with unaffiliated Companies except as provided in this Notice.
Mesirow Financial will only grant access to your personal information to those employees who have a business purpose for accessing such information. In that regard, we have implemented certain physical, electronic and procedural safeguards to ensure that access to personal information is limited to the appropriate employees. Moreover, Mesirow Financial requires its employees to protect your personal information and keep it confidential. Our policy is to protect the confidentiality of tax identification numbers; and, prohibit the unlawful disclosure and to limit access to tax identification numbers.
In order to provide you with the appropriate level of service, we may share account and transactional information within Mesirow Financial. We may also share personal information described above with firms that assist us in carrying out your needs. For example, we may share your personal information for specific business purposes with the following companies:
Financial service institutions, such as mutual fund companies, securities brokers, joint ventures, and banks, with which we have joint marketing agreements;
Companies and their agents that are under contract to perform services for us or on our behalf. For instances, vendors providing data processing, computer software maintenance, auditors, administrators, development, transaction processing, and marketing services.
Be assured that Mesirow Financial does not sell personal information to anyone. Additionally, we treat the personal information of our former clients in the same manner as we treat the personal information of our current clients.We also reserve the right to disclose your personal information in certain circumstances where we feel that disclosure is required or permitted by law; i.e. Internal Revenue Service, courts, parties to lawsuits, credit bureaus, etc. to assist law enforcement officials or officials of regulatory agencies, to perform credit checks or collect monies owed to us, and to protect our rights and property. State laws and individual companies may give you additional rights to limit sharing.
The Accuracy Of Your Personal Information
At Mesirow Financial, our goal is to maintain current and accurate information about you in order to properly service your needs. Consequently, Mesirow Financial clients can have reasonable access to their personal information to verify the accuracy of this information. You may either write or call your Mesirow Financial representative to request your personal account information. If you identify any error in your personal information or you would like to update your records, please advise your Mesirow Financial representative.
Opt Out Option
To opt out, a written request should be sent to:
Compliance Department #10
353 North Clark Street
Chicago, Illinois 60654
The request should provide the following information: Your name; address; social security number; birth date; and list of all accounts and services you have with us so that we can identify all of our relationships with you. You cannot opt out on behalf of another customer, unless you are a joint account holder with that person. To opt out for another joint account holder, you must provide the joint account holder's name; address; social security number; and birth date.
Thank you and we appreciate your business.
Mesirow Financial, Inc.
Mesirow Advanced Strategies, Inc.
Mesirow Financial Real Estate Consulting, LLC
Mesirow Financial Investment Management, Inc.
Mesirow Insurance Services, Inc.
Mesirow Financial Private Equity, Inc.
Mesirow Financial Private Equity Advisors, Inc.
Mesirow Realty Services, Inc.
Mesirow Financial Real Estate, Inc.
Mesirow Realty Sale-Leaseback, Inc.
Mesirow Financial Structured Settlements, LLC
Mesirow Financial Services, Inc.
Mesirow Financial Administrative Corporation
Mesirow Real Estate Investments, Inc.
Mesirow Financial Holdings, Inc.
Mesirow Financial Alternative Investments, LLC
Mesirow Financial Agriculture Management, LLC
Mesirow Financial offices in the United Kingdom and Hong Kong are also subject to privacy rules enacted in their home jurisdiction such as the UK Data Protection Act and Hong Kong Personal Data Ordinance.
MESIROW FINANCIAL BUSINESS CONTINUITY PLANNING
Mesirow Financial has developed Business Continuity Plans ("BCP") on how it will respond to events that significantly disrupt its business. Since the timing and impact of disasters and disruptions are unpredictable, Mesirow Financial will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.
The Business Continuity Planning Disclosure Statement summarizes Mesirow Financial's effort to mitigate risks inherent with unforeseen business disruptions. Mesirow Financial institutes best practices developed by industry organizations for creating practical and effective business continuity plans.
Mesirow Financial has established a Business Continuity Planning (BCP) department, a dedicated team of professionals that oversees the firm's business continuity management strategy. The BCP Department works closely with business units and the Information Technology Department to employ a standardized framework for building, maintaining and testing business continuity plans. The plans are created using an all hazards approach. Plans are designed to allow for continued operations of critical business functions, which include providing clients with prompt access to their funds and securities.
A Crisis Management Team (CMT) comprised of senior management representing key areas of the Firm has been established to manage major incidents that might impact the Firm's associates and clients. The CMT will assess and direct the Firm's response to an incident, ensuring the safety and security of all associates and continuity of critical processes.
Mesirow Financial is committed to providing reliable, trustworthy service that represents the best interests of our clients. The firm has developed a business continuity plan to protect our clients and employees in the event of an emergency or significant business disruption. The plan is designed to quickly recover and resume business operations after a significant business disruption and respond by safeguarding its employees’ safety and firm property, making financial and operational assessments, promptly recovering and resuming operations, protecting the firm's books and records and allowing our clients access to their funds and securities. Mesirow Financial’s business continuity plan addresses: data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees and regulators; alternate location of employees; critical supplier, contractor, bank and counterparts impact; regulatory reporting; and assuring customers prompt access to their funds and securities if we are unable to continue our business.
Our service bureau and market data vendors represent that nightly back-ups are performed and could be restored at a remote operating facility in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we have been advised by our service bureau that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments with recovery time and resumption objectives: recovery time period within four hours; and resumption time of 48 hours. Orders and requests for funds and securities could be delayed during this period.
The business continuity plan considers various scenarios that range in severity from a firm- or building-only disruption to an emergency situation on a local or regional level. For example, in the event any Mesirow Financial office locations are inaccessible, alternative locations are established and prepared to facilitate business operations. The firm has redundancies in place for its business-critical systems and believes that it can usually be able to resume business within the same day as the disruption. Our goal in all situations is to return to normal business conditions as soon as possible, with minimal impact on our clients and employees. Even in an extreme situation where continuing business may not be possible or practical, Mesirow Financial has plans in place that provide clients with access to their funds.
If after a significant business disruption you cannot contact us as you usually do, you should contact us via one of our alternate office locations or via the contact us links, both located on our corporate website mesirowfinancial.com. Should you have any questions about Mesirow Financial's business continuity planning, please contact our Business Continuity Team via email at email@example.com.
Mesirow Financial’s business continuity plan is subject to change at any time without notice. However, notwithstanding the above, Mesirow Financial does not guarantee that for every disaster or business disruption, such plans will be successfully implemented or that such plans will be sufficient and appropriate to avoid, deter or mitigate the disaster or business disruption.
Thank you and we appreciate your business.