Pershing LLC

Pershing LLC

Pershing LLC

Date Founded



1 Pershing Plaza,Jersey City, NJ 07399-0001

Type of Company


Employees (Worldwide)

5,001 - 10K


Investment Banking & Brokerage

Company Description

Founded in 1939, Pershing LLC is a broker/dealer headquartered in Jersey City, New Jersey. The firm is a subsidiary of the Bank of New York Mellon Corp. (NYSE: BK). The firm helps financial services firms and advisors succeed by providing the technology, operational, trading, investment and practice management solutions they need to serve investors. Pershing offers securities processing, trading and operations management, investment technology, asset-gathering solutions and practice management support. The firm serves a wide range of financial organizations including: banks, discount brokerages, full-service brokerages, registered investment advisors, independent contractors, institutional firms, global firms and small- to mid-sized firms. Pershing also offers financial products including annuities, mutual funds and money funds, as well as business tools, cash management services, investor and lending services, retirement products and wealth management. In addition, they offer trading and execution services in listed and OTC securities, fixed-income securities and mutual funds.

Contact Data
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Executives & Employees

Chief Executive Officer

Chief Financial Officer & Managing Director

General Counsel & Managing Director

Global Chief Risk Officer

Chief Information Officer

Chief Strategy Officer

Chief Relationship Officer

Chief Legal Officer

Chief Executive Officer, BNY Mellon Government Securities Services Corp

Head, Registered Investment Advisor Custody Business

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Recent Transactions
Details Hidden

Tekla World Healthcare Fund issued USD Common Stock

Details Hidden

StoneCastle Financial Corp. issued USD Common Stock

Details Hidden

Miller/Howard High Income Equity Fund issued USD Common Stock

Transaction Clients

Advised on StoneCastle Financial Corp. issued USD Common Stock


Advised on Apollo Tactical Income Fund, Inc. issued USD Common Stock


Advised on Ares Multi-Strategy Credit Fund, Inc. issued USD Common Stock

Transaction Advisors
Legal Advisor

Advised onCohen & Steers Limited Duration Preferred & Income Fund Inc. issued USD Common Stock

Legal Advisor

Advised onDuff & Phelps Utility & Infrastructure Fund, Inc. issued USD Common Stock

Legal Advisor

Advised onTortoise Pipeline & Energy Fund, Inc. issued USD Common Stock


Advised onDoubleline Income Solutions Fund issued USD Common Stock


Advised onDoubleline Income Solutions Fund issued USD Common Stock


Advised onDoubleline Income Solutions Fund issued USD Common Stock

Advisors & Consultants
Legal Advisor

Managing Partner at Proskauer Rose LLP

Legal Advisor

Partner at Schulte Roth & Zabel LLP

Legal Advisor

Partner at Proskauer Rose LLP


OCM specializes in alternative investments that inves tin closed-end, open-end and evergreen vehicles across four asset classes: Credit, Private Equity, Real Assets, and Listed Equities. They uses fundamental bottom-up analysis and may engage in long term or short term purchases, trading, short sales in certain strategies, margin transactions, and option writing, including covered options, uncovered options or spreading strategies.

Millennium Management is a global investment management firm with more than 1,300 employees, approximately $20.0 billion in assets under management, and offices in the United States, Europe, and Asia. Founded in 1989, Millennium employs a global multi-strategy investment approach, opportunistically engaging in a broad array of trading and investing strategies.

EMC employs a multi-strategy trading approach that encompasses a broad range of strategies, including, without limitation, performing debt, distressed securities, hedge/arbitrage positions (including event arbitrage, related securities arbitrage, convertible arbitrage, commodities trading, and fixed income arbitrage trading), equity-oriented positions, basis trading, portfolio volatility protection positions, and real-estate related positions. The firm generally trades or invests in a wide variety of financial instruments, including, without limitation, stocks, bonds, swaps, options, futures, forwards, swaptions, private equity, and structured credit products, including MBS, ABS, CDOs and correlation products. Their trading mandates are extremely broad, and encompass virtually every type of asset, investment interest, security or property (real or personal) which can be traded or purchased. EMC is an activist firm and is included in the SharkWatch50 as one the 50 most prominent activist investors.

Non-Profit Donations & Grants
$150 - $2,499
$1,000 - $2,499
Political Donations
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