Nicholas Anthony Moriarty
Investment Adviser Representative at Mesirow Financial Investment Management, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Nicholas Anthony Moriarty is an investment adviser representative with Mesirow Financial Investment Management, Inc. in Edina, MN, where they have been registered since 2023. They have worked in the securities industry since 2012 and have been registered with 5 firms, including Mariner Wealth Advisors and Newedge Advisors. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Illinois and Minnesota.
Registrations & licenses
- Investment adviser:
- Illinois, Minnesota
- Broker:
3 states and territories
Illinois, Minnesota, New York
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Ameriprise Financial Services, Inc.Aug 2015 – Sep 2017Seattle, WA
- LPL Financial, LLCSep 2017 – Oct 2022Saint Louis Park, MN
- Wealth Enhancement Advisory Services, LLCSep 2017 – Oct 2019Plymouth, MN
- Wealth Enhancement Brokerage ServicesSep 2017 – Oct 2019Plymouth, MN
- NewEdge Advisors, LLC (GWM ADVISORS, LLC)Nov 2019 – Oct 2022Saint Louis Park, MN
- Mariner Wealth AdvisorsOct 2022 – Aug 2023Overland Park, KS
- Mesirow Financial, Inc. (MFI)Aug 2023 – no end date reportedChicago, IL
Official records & sources
Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Mesirow Financial Investment Management, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Performance-based fees
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 88
- Offices listed on AdvisorFinder:
- 5
- Main office:
- Chicago, IL
- SEC file number:
- 801-27047
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of July 7, 2026
View full firm profileOther advisors at Mesirow Financial Investment Management, Inc.
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Nicholas Anthony Moriarty has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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