James D. Von Riesemann
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Darrell Von Riesemann, who also goes by James D Von Riesemann, James Darrell Von Riesemann, Jim Von Riesemann, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 9 firms and has passed the Series 63, Series 87, Series 79TO, SIE, Series 6, Series 86, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2025 - February 2, 2026
EVERCORE GROUP L.L.C.
October 23, 2019 - February 24, 2023
MIZUHO SECURITIES USA LLC
February 18, 2015 - April 26, 2017
MIZUHO SECURITIES USA LLC
May 29, 2013 - February 13, 2015
CRT CAPITAL GROUP LLC
January 4, 2010 - March 13, 2013
UBS SECURITIES LLC
February 11, 2004 - April 14, 2005
LAZARD FRERES & CO. LLC
May 1, 2001 - February 18, 2004
J.P. MORGAN SECURITIES INC.
March 28, 2001 - May 1, 2001
JPMSI
August 14, 1997 - April 4, 2001
MORGAN STANLEY & CO. LLC
March 6, 1996 - August 18, 1997
PERSHING LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 10/23/2019
Investment Banking Registered Representative ExaminationCurrent Firm
EVERCORE GROUP L.L.C.
CRD#: 42405 / SEC#: , 8-49830
Contact information
FINRA licenses (37 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVERCORE BD INVESTCO L.L.C. | MANAGING MEMBER | |
| BRYSON, NANCY CLAIRE | CHIEF OPERATING OFFICER | 1978165 |
| CROWE, JOHN CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2494752 |
| FUND, LISA K | PRINCIPAL OPERATIONS OFFICER | 5008055 |
| LALONDE, TIMOTHY GILBERT | CHIEF FINANCIAL OFFICER | 2270483 |
| MARTINEZ, MICHAEL | CHIEF OPERATING OFFICER - EVERCORE ISI | 5100611 |
| MASOTTI, KENNETH ALFRED | CHIEF LEGAL OFFICER | 4436810 |
| MYERS, JENNA | PRINCIPAL OPERATIONS OFFICER | 4582020 |
| PALIOTTA, MICHAEL JOSEPH | CHIEF EXECUTIVE OFFICER OF EVERCORE ISI | 2079036 |
| PENSA, PAUL | CHIEF FINANCIAL OFFICER/FINOP | 2119683 |
| WEINBERG, JOHN | CHIEF EXECUTIVE OFFICER | 2061177 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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