DP
Duane T. Pfennigwerth
EVERCORE GROUP L.L.C.
Westport, CT 06880
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CRD#: 4506605
DP
Professional summary
Duane Thomas Pfennigwerth, who also goes by Duane Thomas Pfenningwerth, is a registered financial professional currently at EVERCORE GROUP L.L.C. located in Westport, Connecticut.
Duane is registered as a RR (Registered Representative) and started their career in finance in 2003. Duane has worked at 3 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Duane Thomas Pfenningwerth
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.
CRS (Client Relationship Summary) - BD
Click below to view Duane Thomas Pfennigwerth's 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®
NoneExperience
Current
December 22, 2015 - Present
EVERCORE GROUP L.L.C.
Office #1: 20 Ketchum Street 2nd Floor, Westport, CT 06880BD
CRD#: 42405
Westport, CT
Past
October 31, 2014 - December 31, 2015
INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
BD
CRD#: 28195
NEW YORK, NY
Past
March 15, 2011 - November 18, 2014
EVERCORE GROUP L.L.C.
BD
CRD#: 42405
New York, NY
Past
January 2, 2003 - February 24, 2011
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ATLANTA, GA
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
Alabama(11/8/2018)
RR
Alaska(11/8/2018)
RR
Arizona(11/8/2018)
RR
Arkansas(1/27/2022)
RR
California(12/22/2015)
RR
Colorado(12/22/2015)
RR
Connecticut(10/20/2016)
RR
District of Columbia(12/22/2015)
RR
Florida(12/22/2015)
RR
Georgia(2/1/2017)
RR
Illinois(12/22/2015)
RR
Indiana(1/27/2022)
RR
Kansas(1/27/2022)
RR
Kentucky(1/27/2022)
RR
Louisiana(11/8/2018)
RR
Maryland(1/27/2022)
RR
Massachusetts(1/1/2016)
RR
Michigan(1/27/2022)
RR
Missouri(1/27/2022)
RR
Montana(11/8/2018)
RR
New Hampshire(1/27/2022)
RR
New Jersey(12/22/2015)
RR
New York(12/22/2015)
RR
North Carolina(1/5/2016)
RR
Ohio(10/20/2016)
RR
Oklahoma(1/27/2022)
RR
Oregon(11/8/2018)
RR
Pennsylvania(11/8/2018)
RR
Puerto Rico(1/27/2022)
RR
Rhode Island(11/8/2018)
RR
South Carolina(2/2/2024)
RR
Texas(12/22/2015)
RR
Utah(1/27/2022)
RR
Virginia(1/1/2016)
RR
Washington(11/8/2018)
RR
West Virginia(1/27/2022)
RR
Wisconsin(1/27/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
EG
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
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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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)
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
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
EVERCORE GROUP L.L.C.
CRD#: 42405Westport, CT 06880TRUST BUT VERIFY
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