PERSHING LLC
CRD #7560 SEC #801-9235 JERSEY CITY, NJ 201-413-2000
SEC Registered Broker-Dealer
Total AUM
--
Discretionary
--
Employees
--
Clients
--
Accounts
--
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Dec 14, 2005
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BICKET, PATRICIA ANN | I | SECRETARY | NA | |
| BICKET, PATRICIA ANN | I | SECRETARY | NA | |
| BICKET, PATRICIA ANN | I | SECRETARY | NA | |
| BICKET, PATRICIA ANN | I | SECRETARY | NA | |
| BRODSKY, DAVID M | I | GENERAL COUNSEL | NA | Control |
| BRODSKY, DAVID M | I | GENERAL COUNSEL | NA | Control |
| BRUECKNER, RICHARD FREDERICK | I | PRESIDENT & CHIEF EXECUTIVE OFFICER (CEO), MANAGING DIRECTOR | NA | Control |
| BRUECKNER, RICHARD FREDERICK | I | PRESIDENT & CHIEF EXECUTIVE OFFICER (CEO), MANAGING DIRECTOR | NA | Control |
| BRUECKNER, RICHARD FREDERICK | I | PRESIDENT & CHIEF EXECUTIVE OFFICER (CEO), MANAGING DIRECTOR | NA | Control |
| BRUECKNER, RICHARD FREDERICK | I | MANAGING DIRECTOR | NA | Control |
| BRUECKNER, RICHARD FREDERICK | I | MANAGING DIRECTOR | NA | Control |
| BRUECKNER, RICHARD FREDERICK | I | PRESIDENT & CHIEF EXECUTIVE OFFICER (CEO), MANAGING DIRECTOR | NA | Control |
| CAMPBELL, MICHAEL JOHN | I | MANAGING DIRECTOR | NA | Control |
| CAMPBELL, MICHAEL JOHN | I | MANAGING DIRECTOR | NA | Control |
| DADDINO, ANTHONY F | I | MANAGING DIRECTOR | NA | Control |
| DECICCO, RONALD | I | HEAD OF OPERATIONS, MANAGING DIRECTOR | NA | Control |
| DECICCO, RONALD | I | HEAD OF OPERATIONS, MANAGING DIRECTOR | NA | Control |
| DECICCO, RONALD | I | HEAD OF OPERATIONS, MANAGING DIRECTOR | NA | Control |
| DECONGELIO, FRANK JOSEPH JR | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DECONGELIO, FRANK JOSEPH JR | I | CHIEF OPERATIONS OFFICER | NA | Control |
| DOUGAN, BRADY WILLIAM | I | BOARD DIRECTOR, MANAGING DIRECTOR | NA | Control |
| DOUGAN, BRADY WILLIAM | I | BOARD DIRECTOR, MANAGING DIRECTOR | NA | Control |
| ERVIN, DEAN WILSON | I | MANAGING DIRECTOR | NA | Control |
| ERVIN, DEAN WILSON | I | MANAGING DIRECTOR | NA | Control |
| FISHER, DAVID CAMPBELL MR | I | CHIEF FINANCIAL OFFICER AND FINOP | NA | Control |
| FISHER, DAVID CAMPBELL MR | I | CHIEF FINANCIAL OFFICER AND FINOP | NA | Control |
| FRANKO, THOMAS ANDREW | I | GENERAL COUNSEL, MANAGING DIRECTOR | NA | |
| FRANKO, THOMAS ANDREW | I | GENERAL COUNSEL, MANAGING DIRECTOR | NA | |
| FRANKO, THOMAS ANDREW | I | GENERAL COUNSEL, MANAGING DIRECTOR | NA | Control |
| FRANKO, THOMAS ANDREW | I | GENERAL COUNSEL, MANAGING DIRECTOR | NA | |
| HAWN, GATES HELMS | I | MANAGING DIRECTOR | NA | Control |
| JAMES, HAMILTON EVANS | I | BOARD MEMBER, MANAGING DIRECTOR | NA | Control |
| JAMES, HAMILTON EVANS | I | BOARD MEMBER, MANAGING DIRECTOR | NA | Control |
| LAU, JEFFREY MARTIN | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | |
| LAU, JEFFREY MARTIN | I | DIRECTOR OF COMPLIANCE | NA | |
| LAU, JEFFREY MARTIN | I | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | NA | |
| LAU, JEFFREY MARTIN | I | DIRECTOR OF COMPLIANCE | NA | |
| MACK, JOHN JOSEPH | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| MACK, JOHN JOSEPH | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| OBRIEN, ROBERT CHARLES | I | MANAGING DIRECTOR | NA | Control |
| OBRIEN, ROBERT CHARLES | I | MANAGING DIRECTOR | NA | Control |
| ONIS, CARLOS | I | BOARD MEMBER, MANAGING DIRECTOR | NA | Control |
| ONIS, CARLOS | I | BOARD MEMBER, MANAGING DIRECTOR | NA | Control |
| RAPPOLD, CHARLES EDWARD II | I | BOARD MEMBER | NA | Control |
| RAPPOLD, CHARLES EDWARD II | I | BOARD MEMBER | NA | Control |
| RAPPOLD, CHARLES EDWARD II | I | BOARD MEMBER | NA | Control |
| RAPPOLD, CHARLES EDWARD II | I | BOARD MEMBER | NA | Control |
| REILLY, ROBERT XAVIER | I | SENIOR REGISTERED OPTIONS PRINCIPAL | NA | |
| REINEMANN, RICHARD WILLIAM JR | I | HEAD OF OPERATIONS, MANAGING DIRECTOR | NA | Control |
| ROBY, JOE LINDELL | I | BOARD MEMBER | NA | Control |
| RUANE, BRIAN | I | BOARD MEMBER | NA | Control |
| RUANE, BRIAN | I | BOARD MEMBER | NA | Control |
| RUSSO, LORI MICHELE | I | SECRETARY | NA | |
| RUSSO, LORI MICHELE | I | SECRETARY | NA | |
| SANTANIELLO, CLAIRE H. | I | CHIEF COMPLIANCE OFFICER, DIRECTOR, COMPLIANCE REGISTERED OPTIONS PRINCIPAL (CROP) | NA | |
| SANTANIELLO, CLAIRE H. | I | CHIEF COMPLIANCE OFFICER, DIRECTOR, COMPLIANCE REGISTERED OPTIONS PRINCIPAL (CROP) | NA | |
| SANTANIELLO, CLAIRE H. | I | CHIEF COMPLIANCE OFFICER, DIRECTOR, COMPLIANCE REGISTERED OPTIONS PRINCIPAL (CROP) | NA | |
| SANTANIELLO, CLAIRE H. | I | CHIEF COMPLIANCE OFFICER, DIRECTOR, COMPLIANCE REGISTERED OPTIONS PRINCIPAL (CROP) | NA | |
| SHEA, BRIAN THOMAS | I | CHIEF OPERATING OFFICER (COO), MANAGING DIRECTOR | NA | Control |
| SHEA, BRIAN THOMAS | I | CHIEF OPERATING OFFICER (COO), MANAGING DIRECTOR | NA | Control |
| SHEA, BRIAN THOMAS | I | CHIEF OPERATING OFFICER (COO), MANAGING DIRECTOR | NA | Control |
| SHEA, BRIAN THOMAS | I | CHIEF OPERATING OFFICER (COO), MANAGING DIRECTOR | NA | Control |
| SPINELLI, EMIL ANTHONY | I | SENIOR REGISTERED OPTIONS PRINCIPAL (SROP) | NA | |
| SPINELLI, EMIL ANTHONY | I | SENIOR REGISTERED OPTIONS PRINCIPAL (SROP) | NA | |
| SPINELLI, EMIL ANTHONY | I | SENIOR REGISTERED OPTIONS PRINCIPAL (SROP) | NA | |
| SPINELLI, EMIL ANTHONY | I | SENIOR REGISTERED OPTIONS PRINCIPAL (SROP) | NA | |
| THORNBURGH, RICHARD EDWARD | I | BOARD MEMBER, MANAGING DIRECTOR | NA | Control |
| THORNBURGH, RICHARD EDWARD | I | BOARD MEMBER, MANAGING DIRECTOR | NA | Control |
| VELLI, JOSEPH MARK | I | BOARD MEMBER | NA | Control |
| VELLI, JOSEPH MARK | I | BOARD MEMBER | NA | Control |
| VELLI, JOSEPH MARK | I | BOARD MEMBER | NA | Control |
| VELLI, JOSEPH MARK | I | BOARD MEMBER | NA | Control |
| WALLESTAD, DENNIS ALLEN | I | CHIEF FINANCIAL OFFICER (CFO), MANAGING DIRECTOR | NA | Control |
| WALLESTAD, DENNIS ALLEN | I | CHIEF FINANCIAL OFFICER (CFO), MANAGING DIRECTOR | NA | Control |
| WALLESTAD, DENNIS ALLEN | I | CHIEF FINANCIAL OFFICER (CFO), MANAGING DIRECTOR | NA | Control |
| WALLESTAD, DENNIS ALLEN | I | CHIEF FINANCIAL OFFICER (CFO), MANAGING DIRECTOR | NA | Control |
| WARD, CHARLES GOULD III | I | BOARD MEMBER, MANAGING DIRECTOR | NA | Control |
| WIRSHBA, LEWIS HOWARD | I | TREASURER, MANAGING DIRECTOR | NA | Control |
| WIRSHBA, LEWIS HOWARD | I | TREASURER, MANAGING DIRECTOR | NA | Control |
| BANK OF NEW YORK | DE | SHAREHOLDER | E | Control |
| BANK OF NEW YORK | DE | SHAREHOLDER | E | Control |
| CREDIT SUISSE FIRST BOSTON (USA), INC. | DE | PARENT OF APPLICANT | E | Control |
| CREDIT SUISSE FIRST BOSTON (USA), INC. | DE | PARENT OF APPLICANT | E | Control |
| PERSHING GROUP LLC | DE | HOLDING COMPANY | E | Control |
| PERSHING GROUP LLC | DE | HOLDING COMPANY | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| CREDIT SUISSE FIRST BOSTON, INC. | DE | CREDIT SUISSE FIRST BOSTON (USA), INC. | E | Control |
| CREDIT SUISSE FIRST BOSTON, INC. | DE | CREDIT SUISSE FIRST BOSTON (USA), INC. | E | Control |
| CREDIT SUISSE GROUP | FE | CREDIT SUISSE FIRST BOSTON | E | Control |
| CREDIT SUISSE GROUP | FE | CREDIT SUISSE FIRST BOSTON | E | Control |
| THE BANK OF NEW YORK COMPANY, INC. | DE | BANK OF NEW YORK | E | Control |
| THE BANK OF NEW YORK COMPANY, INC. | DE | PERSHING GROUP LLC | E | Control |
| THE BANK OF NEW YORK COMPANY, INC. | DE | PERSHING GROUP LLC | E | Control |
| THE BANK OF NEW YORK COMPANY, INC. | DE | BANK OF NEW YORK | E | Control |
| CREDIT SUISSE FIRST BOSTON | FE | CREDIT SUISSE FIRST BOSTON, INC. | D | Control |
| CREDIT SUISSE FIRST BOSTON | FE | CREDIT SUISSE FIRST BOSTON, INC. | D | Control |
| CREDIT SUISSE GROUP | FE | CREDIT SUISSE FIRST BOSTON INC. | C | Control |
| CREDIT SUISSE GROUP | FE | CREDIT SUISSE FIRST BOSTON INC. | C | Control |
Registrations
Federal
IA
Dec 14, 2005 REGISTERED
Notice Filings (47)
AK AL AR CA CT DC DE FL GA HI IA ID IL IN KS KY LA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA RI SC SD TN TX UT VA VT WA WI WV
Address
ONE PERSHING PLAZAJERSEY CITY, NJ 7399
USA
Phone: 201-413-2000