Duane Thomas Pfennigwerth
Professional Summary
Duane Thomas Pfennigwerth, who also goes by Duane Thomas Pfenningwerth, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Duane Thomas Pfenningwerth
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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 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
24 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
(11/8/2018)
(11/8/2018)
(11/8/2018)
(1/27/2022)
(12/22/2015)
(12/22/2015)
(10/20/2016)
(12/22/2015)
(12/22/2015)
(2/1/2017)
(12/22/2015)
(1/27/2022)
(1/27/2022)
(1/27/2022)
(11/8/2018)
(1/27/2022)
(1/1/2016)
(1/27/2022)
(1/27/2022)
(11/8/2018)
(1/27/2022)
(12/22/2015)
(12/22/2015)
(1/5/2016)
(10/20/2016)
(1/27/2022)
(11/8/2018)
(11/8/2018)
(1/27/2022)
(11/8/2018)
(2/2/2024)
(12/22/2015)
(1/27/2022)
(1/1/2016)
(11/8/2018)
(1/27/2022)
(1/27/2022)
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 Jan 2005About the Series 87 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Duane Thomas Pfennigwerth's CRS (Customer Relationship Summary).
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