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Steven Coffey

Chief Legal Risk Officer and Chief Compliance Officer at Pzena Investment Management

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
1
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Steven Coffey is Chief Legal Risk Officer and Chief Compliance Officer of Pzena Investment Management LLC, a New York investment adviser managing $81.4B. Steven Coffey has a current broker registration and no current investment-adviser registration and has passed the Series 14.

Role at Pzena Investment Management

Title on Schedule A
Chief Legal Risk Officer and Chief Compliance Officer
Control
Steven Coffey is a control person of Pzena Investment Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Steven Coffey has held the filed role since January 2023.

The firm

Pzena Investment Management LLC
New York, NY

Form ADV filed 30 March 2026

$81.4B AUM245 clients55 advisers1 offices

Career on record

Firms and exams, newest first
  1. Passed Series 14 · 2023

Registrations and exams

Broker registration; no current adviser registration. Steven Coffey has passed 1 qualifying exam.

Examinations

Series 146 December 2023
Name
Compliance Officer Examination

Individual record

Full name
Steven Mark Coffey
CRD
7692630
Firm
Pzena Investment Management LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Steven Coffey work?

Steven Coffey has been Chief Legal Risk Officer and Chief Compliance Officer of Pzena Investment Management LLC since January 2023, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 30 March 2026

Does Steven Coffey have a current investment-adviser registration?

Steven Coffey has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Steven Coffey passed?

Steven Coffey passed the Series 14 in December 2023.

Source: IAPD individual record, checked 18 October 2026

Leadership at Pzena Investment Management

Sources

  1. IAPD individual record, CRD 7692630. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Pzena Investment Management LLC, filed 30 March 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Steven Coffey or Pzena Investment Management LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.