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James Shields

Chief Compliance Officer at Mesirow Financial Investment Management

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
6
Licensing exams

IAPD record retrieved 17 October 2026SEC record

James Shields is Chief Compliance Officer of Mesirow Financial Investment Management, Inc., a Chicago investment adviser managing $50.4B. James Shields has a current broker registration and no current investment-adviser registration and has passed 6 licensing exams.

Role at Mesirow Financial Investment Management

Title on Schedule A
Chief Compliance Officer
Control
James Shields is a control person of Mesirow Financial Investment Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
James Shields has held the filed role since April 2026.

The firm

Mesirow Financial Investment Management, Inc.
Chicago, IL

Form ADV filed 7 July 2026

$50.4B AUM90,291 clients116 advisers4 offices

Career on record

Firms and exams, newest first
  1. Passed Series 63 · 2023
  2. Passed SIE · 2018
  3. Passed Series 4 · 2001
  4. Passed Series 24 · 1999
  5. Passed Series 52 and Series 7 · 1997

Registrations and exams

Broker registration; no current adviser registration. James Shields has passed 6 qualifying exams.

Examinations

Series 6310 January 2023
Name
Uniform Securities Agent State Law Examination
Series 418 July 2001
Name
Registered Options Principal Examination
Series 2410 December 1999
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 725 November 1997
Name
General Securities Representative Examination
Series 525 August 1997
Name
Municipal Securities Representative Examination

Individual record

Full name
James Shields
CRD
2927398
Firm
Mesirow Financial Investment Management, Inc.
Registration status
Broker registration; no current adviser registration
Firm bio
mesirow.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Mesirow identifies Jamie Shields as chief compliance officer. The firm says he previously held compliance roles at Aviva Investors Americas, ICAP, Calamos and Banc One. He earned a BS in finance from Northern Illinois University. Official firm biography

Common questions

Where does James Shields work?

James Shields has been Chief Compliance Officer of Mesirow Financial Investment Management, Inc. since April 2026, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 7 July 2026

Does James Shields have a current investment-adviser registration?

James Shields has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has James Shields passed?

James Shields has passed 6 licensing exams: the Series 52, Series 7, Series 24, Series 4, SIE and Series 63. The earliest, the Series 52, was passed in August 1997.

Source: IAPD individual record, checked 17 October 2026

Leadership at Mesirow Financial Investment Management

  • Michael Annin
    Fiduciary Solutions Department, President
  • Jesse Keig
    Chief Financial Officer/Director
  • Alasdair Cripps
    Real Estate Direct Investments
  • Alasdair Cripps
    Real Estate Direct Investments Department, CEO and Co-Chief Investment Officer
  • Lee Gordon
    Wealth Management Department, Chairman
  • Joseph Hoffman
    Currency Management Department,
  • Richard Price
    Director/Executive Chairman/CEO
  • Brian Price
    Head of Advisory Services

Sources

  1. IAPD individual record, CRD 2927398. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Mesirow Financial Investment Management, Inc., filed 7 July 2026. Title, control and ownership bands.
  3. Mesirow Financial Investment Management team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with James Shields or Mesirow Financial Investment Management, Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.