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CP

Constantine J. Papas

PZENA FINANCIAL SERVICES
New York, NY 10022
Some features on this profile are disabled
CRD#: 4406996
CP

Professional summary

Constantine John Papas, who also goes by Dean Papas, is a registered financial professional currently at PZENA FINANCIAL SERVICES, LLC located in New York, New York.

Constantine is registered as a RR (Registered Representative) and started their career in finance in 2001. Constantine has worked at 5 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dean Papas

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 Constantine John Papas'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

July 21, 2014 - 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
BD
CRD#: 169807
New York, NY
Past

August 12, 2010 - April 20, 2011

ALLIANZ GLOBAL INVESTORS U.S. LLC

RIA
CRD#: 149003
SAN DIEGO, CA
Past

October 25, 2006 - April 21, 2011

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

BD
CRD#: 25567
SAN DIEGO, CA
Past

April 1, 2002 - July 9, 2003

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

August 24, 2001 - April 1, 2002

AUTRANET, LLC

BD
CRD#: 8192
JERSEY CITY, NJ

State Registrations and Notice Filings

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

RR
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

RR
Connecticut
(3/9/2017)
RR
Delaware
(8/13/2014)
RR
Florida
(8/22/2014)
RR
Georgia
(4/1/2022)
RR
Massachusetts
(10/9/2015)
RR
New Jersey
(3/6/2017)
RR
New York
(7/28/2014)
RR
North Carolina
(2/9/2017)
RR
Pennsylvania
(2/9/2017)
RR
South Carolina
(2/9/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 3/17/2014
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 5/23/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/24/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PF
PZENA FINANCIAL SERVICES, LLC
PZENA FINANCIAL SERVICES, LLC

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

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PZENA INVESTMENT MANAGEMENT LLCSHAREHOLDER106847
ARNOLD, VALERIE RENECO-HEAD OF NORTH AMERICAN DISTRIBUTION3257541
COFFEY, STEVEN MARKCHIEF COMPLIANCE OFFICER7692630
DORAN, JESSICA RYANCFO/FINOP6406095
LIPSEY, WILLIAM LOUISCEO1553822
TYNDALE, ELIZABETH WEISSCO-HEAD OF NORTH AMERICAN DISTRIBUTION2666648

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.

Company Information

PZENA FINANCIAL SERVICES, LLC

CRD#: 169807New York, NY 10022

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