Stephen Thomas Sakwa
Professional Summary
Stephen Thomas Sakwa, who also goes by Sttephen Thomas Sakwa, Sttephen Sakwa, is a registered financial advisor currently at EVERCORE GROUP L.L.C. located in New York, New York. Stephen is registered as a RR (Registered Representative) and started their career in finance in 1994. Stephen has worked at 4 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Sttephen Thomas Sakwa, Sttephen Sakwa
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
32 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
EVERCORE GROUP INC. | EVERCORE PARTNERS INC. | EVERCORE ISI | EVERCORE INC. | EVERCORE GROUP L.L.C.
Contact Information
Main Address
55 East 52nd Street, New York, NY 10055Mailing Address
55 East 52nd Street, New York, NY 10055Phone Number
(212) 857-3100Established
Delaware since 04/19/2006Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (37 States and Territories)
Registered to provide investment advisory services in 0 US 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
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(11/7/2018)
(11/7/2018)
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(1/26/2022)
(12/22/2015)
(12/22/2015)
(10/20/2016)
(12/22/2015)
(12/22/2015)
(2/2/2017)
(12/22/2015)
(1/26/2022)
(1/26/2022)
(1/26/2022)
(11/7/2018)
(1/26/2022)
(1/1/2016)
(1/26/2022)
(1/26/2022)
(11/7/2018)
(1/26/2022)
(12/22/2015)
(12/22/2015)
(1/5/2016)
(10/20/2016)
(1/26/2022)
(11/7/2018)
(11/7/2018)
(1/26/2022)
(11/7/2018)
(2/5/2024)
(12/22/2015)
(1/26/2022)
(1/1/2016)
(11/7/2018)
(1/26/2022)
(1/26/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Jun 2004About the Series 87 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Stephen Thomas Sakwa's CRS (Customer Relationship Summary).
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