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Pershing LLC, our clearing firm, processes our trades, issues statements and confirmations, holds the securities in our clients’ accounts, and provides compliance support and other back office services. Pershing's functions and responsibilities are described in its disclosure statement.

A wholly owned subsidiary of The Bank of New York Mellon Corporation, Pershing is one of the largest and oldest clearing firms in the United States. It is a registered broker-dealer and a member of the National Association of Securities Dealers, the New York Stock Exchange, and other national securities exchanges. It is also experienced in handling securities traded on many international exchanges.

Pershing holds about $950 billion in total client assets for more than six million individual investors. Its parent company has $23 trillion in assets under custody and administration.

 


Pershing's Disclosure Statement