Role at Mesirow Financial Investment Management
- Title on Schedule A
- Currency Management Department,
- Control
- Joseph Hoffman is a control person of Mesirow Financial Investment Management.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Joseph Hoffman has held the filed role since August 2017.
The firm
Form ADV filed 7 July 2026
Career on record
Joseph Hoffman has been registered through Mesirow Financial Investment Management since August 2017, and before that through Russell Investment Group and Russell Investments.
- Passed Series 99TO · 2023
- Passed Series 30 · 2022
- Passed Series 3 · 2020
- Passed SIE · 2018
- – present · 9 yearsChicago, IL · Adviser representative · Firm CRD 111135
- Passed Series 24 · 2013
- Russell Investment Group– · 14 yearsTacoma, WA · Adviser representative · Firm CRD 105739
- Russell Investments– · 6 yearsTacoma, WA · Adviser representative · Firm CRD 105734
- Passed Series 7, Series 63, Series 65 and Series 31 · 1996
Registrations and exams
Joseph Hoffman has a current investment-adviser registration in Illinois and Washington and has passed 9 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Illinois | Investment adviser representative | Approved | 17 August 2017 |
| Washington | Investment adviser representative | Approved | 21 September 2022 |
- Scope
- Investment adviser representative
- Status
- Approved
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 18 December 1996 |
| Series 63 | Uniform Securities Agent State Law Examination | 11 December 1996 |
| Series 30 | NFA Branch Manager Examination | 9 September 2022 |
| Series 24 | General Securities Principal Examination | 19 March 2013 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 3 | National Commodity Futures Examination | 18 November 2020 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 31 | Futures Managed Funds Examination | 20 December 1996 |
| Series 7 | General Securities Representative Examination | 26 November 1996 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- NFA Branch Manager Examination
- Name
- General Securities Principal Examination
- Name
- Operations Professional Examination
- Name
- National Commodity Futures Examination
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Joseph Patrick Hoffman
- CRD
- 2733639
- Registration status
- Investment adviser and broker registrations
- Office
- 353 N. CLARK ST, Chicago, IL 60654
- 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 Joseph Hoffman as CEO of its Currency business. The firm says he previously worked at Russell Investments and co-founded its Currency Implementation business. He earned a BS from Central Washington University and an MS in finance from Seattle University. Official firm biography
Common questions
Where does Joseph Hoffman work?
Joseph Hoffman has been Currency Management Department, of Mesirow Financial Investment Management, Inc. since August 2017, and is a control person of the firm.
Is Joseph Hoffman a financial advisor?
Yes. Joseph Hoffman has a current investment-adviser registration in Illinois and Washington, through Mesirow Financial Investment Management since August 2017, as of 17 October 2026.
How many years of experience does Joseph Hoffman have?
Joseph Hoffman has worked in the financial industry for 28 years as of 17 October 2026, counted from 18 September 1998, across 3 adviser firms.
What exams has Joseph Hoffman passed?
Joseph Hoffman has passed 9 licensing exams: the Series 7, Series 63, Series 65, Series 31, Series 24, SIE, Series 3, Series 30 and Series 99TO. The earliest, the Series 7, was passed in November 1996.
Where did Joseph Hoffman work before Mesirow Financial Investment Management?
Before Mesirow Financial Investment Management, Joseph Hoffman was registered through Russell Investment Group, March 2002 to March 2016; Russell Investments, March 2002 to October 2007.
Where is Joseph Hoffman based?
Joseph Hoffman’s registered office is in Chicago, IL.
Leadership at Mesirow Financial Investment Management
- Michael AnninFiduciary Solutions Department, President
- Jesse KeigChief Financial Officer/Director
- James ShieldsChief Compliance Officer
- Alasdair CrippsReal Estate Direct Investments
- Alasdair CrippsReal Estate Direct Investments Department, CEO and Co-Chief Investment Officer
- Lee GordonWealth Management Department, Chairman
- Richard PriceDirector/Executive Chairman/CEO
- Brian PriceHead of Advisory Services