Martin E. Hanhauser

PZENA FINANCIAL SERVICES

New York, NY 10022

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CRD#: 4268176

Professional summary

Martin Eugene Hanhauser JR., who also goes by Martin Eugene Hanhauser, Marty Hanhauser, is a registered financial professional currently at PZENA FINANCIAL SERVICES, LLC located in New York, New York.

Martin is registered as a RR (Registered Representative) and started their career in finance in 2000. Martin has worked at 7 firms and has passed the Series 65, Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Martin Eugene Hanhauser | Marty Hanhauser

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 Martin Eugene Hanhauser JR.'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

April 6, 2016 - Present

PZENA FINANCIAL SERVICES, LLC

Office #1: 320 Park Avenue 8th Floor, New York, NY 10022Office #2: 320 Park Avenue 8th Floor, New York, NY, 10022

CRD#: 169807

New York, NY

Past

October 2, 2014 - April 12, 2016

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Knoxville, TN

Past

June 26, 2012 - September 19, 2014

ALPS DISTRIBUTORS, INC.

CRD#: 16853

Knoxville, TN

Past

March 16, 2007 - October 8, 2009

NUVEEN FUND ADVISORS, LLC

RIA

CRD#: 104626

CHICAGO, IL

Past

January 25, 2007 - October 8, 2009

NUVEEN SECURITIES, LLC

CRD#: 469

NEW YORK, NY

Past

July 25, 2002 - November 27, 2006

LORD, ABBETT & CO. LLC

RIA

CRD#: 110391

JERSEY CITY, NJ

Past

December 20, 2000 - November 27, 2006

LORD ABBETT DISTRIBUTOR LLC

CRD#: 530

JERSEY CITY, NJ

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

Connecticut
(5/17/2017)

Delaware
(7/29/2016)

Florida
(4/18/2016)

Georgia
(8/9/2017)

Massachusetts
(4/8/2016)

New Jersey
(12/12/2016)

New York
(7/28/2016)

North Carolina
(11/4/2016)

Ohio
(11/4/2016)

Pennsylvania
(10/31/2016)

South Carolina
(7/11/2016)

Tennessee
(8/26/2016)

Exams

State Security Law Exam

IAR

Series 65

Date: 7/1/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/31/2012

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/24/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/19/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PZENA FINANCIAL SERVICES, LLC

CRD#: 169807 / SEC#: , 8-69390

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

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Contact information

Main Address

320 Park Avenue 8th Floor, New York, NY, 10022

Mailing Address

320 Park Avenue 8th Floor, New York, NY, 10022

Phone number

(212) 355-1600

Established

Delaware since 10/15/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (17 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PZENA INVESTMENT MANAGEMENT LLC	SHAREHOLDER	106847
ARNOLD, VALERIE RENE	CO-HEAD OF NORTH AMERICAN DISTRIBUTION	3257541
COFFEY, STEVEN MARK	CHIEF COMPLIANCE OFFICER	7692630
DORAN, JESSICA RYAN	CFO/FINOP	6406095
LIPSEY, WILLIAM LOUIS	CEO	1553822
TYNDALE, ELIZABETH WEISS	CO-HEAD OF NORTH AMERICAN DISTRIBUTION	2666648

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.

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Advisor Monitoring

Firm Stability Insights

Martin E. Hanhauser

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Martin Eugene Hanhauser JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

ALPS DISTRIBUTORS, INC.

NUVEEN FUND ADVISORS, LLC

NUVEEN SECURITIES, LLC

LORD, ABBETT & CO. LLC

LORD ABBETT DISTRIBUTOR LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/1/2015

Series 63

Date: 5/31/2012

Series 66

Date: 4/24/2001

SIE

Date: 10/1/2018

Series 7

Date: 12/19/2000

FINRA

Current Firm

PZENA FINANCIAL SERVICES, LLC

Contact information

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PZENA FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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