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Duane Penfold Email & Phone Number
Chief Operating Officer and Chief Compliance Officer
at
Freedom Capital Markets
1 phone found
area 516
LinkedIn matched
✓ Verified Jul 2026
4 data sources
Profile completeness 100%
Current company
Role
Chief Operating Officer and Chief Compliance Officer
Location
New York, United States
Who is Duane Penfold? Overview
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Quick answer
Duane Penfold is listed as Chief Operating Officer and Chief Compliance Officer at Freedom Capital Markets, based in New York, United States. AeroLeads shows phone signal with area code 516 and a matched LinkedIn profile for Duane Penfold.
Duane Penfold previously worked as Chief Operating Officer/Chief Compliance Officer at Freedom Capital Markets and Chief Operating Officer/Chief Compliance Officer at Prime Executions, Inc.. Duane Penfold holds Joint And Combined Warfighting School Hybrid (Jcws-H)/Joint Professional Military Education Phase Ii, Military Joint Operations Planning And Strategy from Joint Forces Staff College, National Defense University.
Company email context
Email format at Freedom Capital Markets
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Freedom Capital Markets
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Profile bio
About Duane Penfold
Accomplished senior financial executive with a strong record of managing strategies, spearheading initiatives, improving financial performance, and identifying opportunities for increased efficiency.
Listed skills include Navy, Military, Security Clearance, Dod, and 49 others.
Current workplace
Duane Penfold's current company
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Freedom Capital Markets
Website
AeroLeads page
12 roles
Duane Penfold work experience
A career timeline built from the work history available for this profile.
Chief Operating Officer/Chief Compliance Officer
Freedom Capital Markets (FCM) is the investment banking and equity capital markets arm of Prime Executions, Inc., a wholly owned subsidiary of Freedom Holding Corp. (NASDAQ: FRHC). In addition to advising clients on the go-public process – from application to bell ringing – FCM provides corporate and institutional clients with a full array of investment banking, finance, and capital markets advisory services. The company’s capabilities include initial and follow-on offerings, PIPEs, SPACs, private placements, convertible issues, debt capital, mergers and acquisitions, corporate access, and corporate restructuring.
Chief Operating Officer/Chief Compliance Officer
Responsible for the administration and oversight of the firm’s Institutional Trading, Compliance, Technology and Back Office Operations. Mr. Penfold joined Prime Executions in 2003 after eight years of Active Duty as a Surface Warfare Officer in the United States Navy and remains active in the Navy ReservesRegistrations: SIE, Series 7, 19, 24, 25, 57, 63, 79 & 99.
Senior Vice President
Sep 2003 - Apr 2013
Afloat Culture Workshop (Acw) Atlantic Facilitator
Developed as a tool for Commanding Officers (COs), the workshops are an open forum discussion led and facilitated by senior command level officers provided by the Navy Reserve (NR) COMNAVSURFPAC/COMNAVSURFLANT TYCOM Headquarters (HQ) units trained to assess operational excellence by gaging trust, integrity, and effective communication up and down the chain of command to identify culture or safety issues that may impact the command. In Operational Risk Management (ORM) terms, this is hazard identification. The culture workshop process is designed to help COs determine whether their own perception of command culture is accurate.
Dec 2019 - Aug 2020
Commanding Officer - Naval Cooperation And Guidance Of Shipping New York (Ncags New York)
The NCAGS mission is to assist the Theater/Operational Commander in managing risk by providing situational awareness and real-time clarity of the merchant shipping picture and, secondarily, to ensure the safe passage of merchant shipping in a crisis or contingency. NCAGS New York directly supports CNE-CNA-C6F and NATO.
Dec 2016 - Nov 2019
Maritime Plans Chief Joint Enabling Capabilities Command Joint Planning Support Element (Jecc/Jpse)
Operational Planning Team Leader at the Joint Planning Support Element (JPSE.) Provided rapidly deployable, tailored, joint planners with expertise to accelerate the formation and increase the effectiveness of a joint force headquarters during emerging operations.
Dec 2014 - Nov 2016
Officer In Charge - 2Nd Platoon Charlie Company Corivron 8
Hardware-equipped deployable unit, responsible for providing boat, security, sensor and C4 assets ISO worldwide AT/FP inshore and littoral operations
Mar 2013 - Nov 2014
Officer-In- Charge, Nato Rule Of Law Field Support Mission/Rule Of Law Field Force – Afghanistan
Mobilized and served as the Officer-In- Charge, NATO Rule of Law Field Support Mission/Rule of Law Field Force – Afghanistan, Team East at FOB Salerno, Khost Province. Established and directed all Command efforts throughout four Provinces in Regional Command East (RC-E) to develop NATO Evidence Based Operations (EvBO) initiatives in support of Rule of Law efforts in a highly austere and kinetic region on the Pakistani border.
May 2012 - Jan 2013
N1 - Admin Officer
NR Naval Cooperation and Guidance of Shipping (NCAGS) Alpha based in Bronx, NY, serving in multiple Department Head positions and leading the largest of three Maritime Domain Awareness (MDA) Battalions covering nine West African countries and more than twenty AIS maritime surveillance sites.
Jan 2010 - Feb 2012
Lieutenant Commander In The Individual Ready Reserve (Irr).
Sep 2003 - Dec 2009
Surface Warfare Officer - Uss Chosin (Cg 65) And Joint Combat Identification Evalutaion Team
Jun 1995 - Aug 2003
4 education records
Duane Penfold education
Joint And Combined Warfighting School Hybrid (Jcws-H)/Joint Professional Military Education Phase Ii, Military Joint Operations Planning And Strategy
Joint Forces Staff College, National Defense University
College Of Naval Command & Staff Diploma/Joint Professional Military Education Phase I, Strategy & War, Theater Security Decision Making, Joint Maritime Operations
U.S. Naval War College
Mba, Defense
Uwf Lewis Bear Jr. College Of Business
Bachelor Of Science (Bs), Marine Engineering
United States Merchant Marine Academy
FAQ
Frequently asked questions about Duane Penfold
Quick answers generated from the profile data available on this page.
What company does Duane Penfold work for?
Duane Penfold works for Freedom Capital Markets.
What is Duane Penfold's role at Freedom Capital Markets?
Duane Penfold is listed as Chief Operating Officer and Chief Compliance Officer at Freedom Capital Markets.
What is Duane Penfold's phone number?
AeroLeads has found 1 phone signal(s) with area code 516 for Duane Penfold at Freedom Capital Markets.
Where is Duane Penfold based?
Duane Penfold is based in New York, United States while working with Freedom Capital Markets.
What companies has Duane Penfold worked for?
Duane Penfold has worked for Freedom Capital Markets, Prime Executions, Inc., U.S. Navy Reserve, and Us Navy.
How can I contact Duane Penfold?
You can use AeroLeads to view verified contact signals for Duane Penfold at Freedom Capital Markets, including work email, phone, and LinkedIn data when available.
What schools did Duane Penfold attend?
Duane Penfold holds Joint And Combined Warfighting School Hybrid (Jcws-H)/Joint Professional Military Education Phase Ii, Military Joint Operations Planning And Strategy from Joint Forces Staff College, National Defense University.
What skills is Duane Penfold known for?
Duane Penfold is listed with skills including Navy, Military, Security Clearance, Dod, Military Operations, Operational Planning, National Security, and Defense.
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