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EW

Edward Wendel

GUGGENHEIM SECURITIES
SAN FRANCISCO, CA 94108
Some features on this profile are disabled
CRD#: 5930353
EW
Edward WendelGUGGENHEIM SECURITIES

Professional summary

Edward Wendel, who also goes by Edward Harrisson Wendel, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in San Francisco, California and EVERCORE GROUP L.L.C. located in San Francisco, California.

Edward is registered as a RR (Registered Representative) and started their career in finance in 2011. Edward has worked at 6 firms and has passed the Series 63, Series 87, SIE, Series 86, Series 7 and Series 79 exams.

Aliases

Edward Harrisson Wendel

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 Edward Wendel'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

February 18, 2026 - Present

GUGGENHEIM SECURITIES, LLC

Office #1: 601 California Street, Suite 610, San Francisco, CA 94108
BD
CRD#: 40638
SAN FRANCISCO, CA
Current

July 28, 2026 - Present

EVERCORE GROUP L.L.C.

Office #1: Three Embarcardero Center Suite 1450, San Francisco, CA 94111
BD
CRD#: 42405
SAN FRANCISCO, CA
Past

December 15, 2015 - January 22, 2021

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

December 18, 2014 - December 24, 2015

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

August 28, 2012 - February 25, 2013

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
NEW YORK, NY
Past

September 27, 2011 - December 31, 2012

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
NEW YORK, NY

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
Arkansas
(2/27/2026)
RR
California
(2/18/2026)
RR
Colorado
(2/19/2026)
RR
Connecticut
(2/19/2026)
RR
Delaware
(2/18/2026)
RR
District of Columbia
(2/20/2026)
RR
Florida
(2/23/2026)
RR
Georgia
(2/20/2026)
RR
Hawaii
(3/6/2026)
RR
Illinois
(2/25/2026)
RR
Iowa
(2/18/2026)
RR
Kansas
(2/18/2026)
RR
Maryland
(2/20/2026)
RR
Massachusetts
(2/19/2026)
RR
Minnesota
(2/18/2026)
RR
Missouri
(2/18/2026)
RR
Montana
(7/29/2026)
RR
New Jersey
(2/20/2026)
RR
New York
(2/23/2026)
RR
North Carolina
(2/23/2026)
RR
Ohio
(2/18/2026)
RR
Oklahoma
(2/18/2026)
RR
Oregon
(2/24/2026)
RR
Pennsylvania
(2/19/2026)
RR
Puerto Rico
(3/9/2026)
RR
Tennessee
(2/19/2026)
RR
Texas
(2/22/2026)
RR
Utah
(2/19/2026)
RR
Vermont
(2/18/2026)
RR
Virginia
(2/19/2026)
RR
Wisconsin
(2/18/2026)
RR
Wyoming
(2/19/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 2/13/2026
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 87
Date: 1/17/2026
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
SIE
Date: 10/29/2025
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 2/2/2015
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 1/2/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 9/26/2011
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EVERCORE BD INVESTCO L.L.C.MANAGING MEMBER
BRYSON, NANCY CLAIRECHIEF OPERATING OFFICER1978165
CROWE, JOHN CHRISTOPHERCHIEF COMPLIANCE OFFICER2494752
FUND, LISA KPRINCIPAL OPERATIONS OFFICER5008055
LALONDE, TIMOTHY GILBERTCHIEF FINANCIAL OFFICER2270483
MARTINEZ, MICHAELCHIEF OPERATING OFFICER - EVERCORE ISI5100611
MASOTTI, KENNETH ALFREDCHIEF LEGAL OFFICER4436810
MYERS, JENNAPRINCIPAL OPERATIONS OFFICER4582020
PALIOTTA, MICHAEL JOSEPHCHIEF EXECUTIVE OFFICER OF EVERCORE ISI2079036
PENSA, PAULCHIEF FINANCIAL OFFICER/FINOP2119683
WEINBERG, JOHNCHIEF EXECUTIVE OFFICER2061177

Disclosures

Regulatory Event3

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#: 42405San Francisco, CA 94108

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