Katrina Jones is a Vice President and Supervisory Principal in Mesirow Wealth Management, an SEC-Registered Investment Advisor firm. As a Supervisory Principal, Katrina works to ensure the division’s compliance with firm policies and supervisory procedures. She uses her knowledge of SEC and FINRA rules and regulations to apply regulatory guidance, along with the firm’s policies and procedures, in the review of account-related documents and various supervision exception reports. Katrina regularly collaborates with the firm’s internal business partners ensure the efficiency of existing operational procedures and to implement new procedures and workflows as needed. She works closely with the Managing Director, Supervision to ensure ongoing review of supervisory functions and risk related reporting. Related activities include, but are not limited to, suitability, trade activity, performance advertising reviews, audits and projects of limited and broad scope.

Katrina joined Mesirow in Spring, 2021. She previously worked at Bankers Life Securities beginning as a Financial Advisor Service Representative before ascending to an Operations management role. Katrina also worked in a Supervision Principal capacity at TradeStation Securities, where she identified, assessed and minimized risk to the firm, specializing in international, entity and institutional accounts.

Katrina obtained a Bachelor of Science in Hospitality and Tourism Management from Purdue University. She currently holds Series 4, 6, 7, 24, 63, and 66 securities licenses.