Ralph L. Schlosstein

EVERCORE GROUP L.L.C.

New York, NY 10055

Some features on this profile are disabled

CRD#: 2041885

Professional summary

Ralph Lewis Schlosstein is a registered financial professional currently at EVERCORE GROUP L.L.C. located in New York, New York.

Ralph is registered as a RR (Registered Representative) and started their career in finance in 1991. Ralph has worked at 3 firms and has passed the Series 79TO, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ralph Lewis Schlosstein's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 22, 2009 - Present

EVERCORE GROUP L.L.C.

Office #1: 55 East 52nd Street, New York, NY 10055

CRD#: 42405

New York, NY

Past

July 24, 1995 - October 11, 2002

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

NEW YORK, NY

Past

February 8, 1991 - July 24, 1995

BFM ADVISORY, L.P.

CRD#: 26146

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(9/23/2009)

District of Columbia
(10/5/2009)

Florida
(9/28/2009)

Louisiana
(10/20/2009)

Ohio
(9/23/2009)

Exams

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/25/1997

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/5/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/6/2010

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq Stock Market

Current Firm

EVERCORE GROUP L.L.C.

EVERCORE GROUP INC. | EVERCORE PARTNERS INC. | EVERCORE ISI | EVERCORE INC. | EVERCORE GROUP L.L.C.

CRD#: 42405 / SEC#: , 8-49830

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

55 East 52nd Street, New York, NY 10055

Mailing Address

55 East 52nd Street, New York, NY 10055

Phone number

(212) 857-3100

Established

Delaware since 04/19/2006

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (37 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ralph L. Schlosstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ralph Lewis Schlosstein's CRS (Customer Relationship Summary).

Certified licenses

Experience

BLACKROCK INVESTMENTS, LLC

BFM ADVISORY, L.P.

State Registrations and Notice Filings

Exams

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 6/25/1997

Series 7

Date: 2/5/1991

Series 24

Date: 12/6/2010

FINRA

Investors' Exchange LLC

Nasdaq BX, Inc.

Nasdaq Stock Market

Current Firm

EVERCORE GROUP L.L.C.

Contact information

FINRA licenses (37 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

EVERCORE GROUP L.L.C.

TRUST BUT VERIFY

Similar Advisors