Pershing LLC

Pershing LLC

Pershing LLC

Date Founded



101 Barclay Street,New York, NY 10007-2550

Type of Company



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

Chief Operating Officer

General Counsel & Managing Director

Chief Risk Officer

Chief Information Officer

Chief Strategy Officer

Chief Relationship Officer

Chief Legal Officer

Executive Advisor

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Pershing LLC
Recent Transactions
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Tekla World Healthcare Fund issued Common Stock

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Miller/Howard High Income Equity Fund issued Common Stock

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StoneCastle Financial Corp. issued Common Stock

Transaction Clients

Advised on StoneCastle Financial Corp. issued Common Stock


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


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

Transaction Advisors
Legal Advisor

Advised on issued Common Stock

Legal Advisor

Advised onDoubleline Income Solutions Fund issued Common Stock

Legal Advisor

Advised onFirst Trust Intermediate Duration Preferred & Income Fund issued Common Stock

Legal Advisor

Advised on issued Common Stock

Legal Advisor

Advised on issued Common Stock

Legal Advisor

Advised onDoubleline Income Solutions Fund issued Common Stock

Advisors & Consultants
Legal Advisor

Co-Chair, Global Corporate Department at Proskauer Rose LLP

Legal Advisor

Partner at Proskauer Rose LLP


Executive Advisor at Pershing LLC


Oaktree Capital Management (OCM) provides overall discretionary management for accounts within six asset classes: Distressed Debt, Corporate Debt, Control Investing, Convertible Securities, Real Estate, and Listed Equities. The firm also manages accounts in the multi-asset solutions asset class, that afford exposure to different combinations of certain of the six asset classes. OCM generally uses fundamental analysis, and may engage in long-term or short-term purchases, trading (securities purchased and sold within 30 days), short sales in certain strategies, margin transactions, and option writing, including covered options, uncovered options or spreading strategies.OCM's distressed debt asset class includes distressed opportunities, value opportunities and emerging markets opportunities strategies. The firm's corporate debt asset class pursues investments in US high yield bonds, European high yield bonds, global high yield bonds, US senior loans, European senior loans, European high yield bonds and senior loans, US private debt, strategic credit, European private debt, and emerging markets debt total return. Their control investing asset class pursues investments in the following strategies: special situations, European principal power opportunities, and infrastructure investing. OCM's convertible securities asset class invests in US convertibles, non-US convertibles and high income convertibles. Their real estate asset class pursues investments in the following strategies: real estate opportunities, real estate value-add and real estate debt. OCM's listed equities asset class pursues investments in emerging markets absolute return opportunities, emerging markets equities, and value equities.

Elliott Management Corp. Elliott 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. Elliott Management Corp. is an activist firm and is included in the SharkWatch50 as one the 50 most prominent activist investors.

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.

Non-Profit Donations & Grants
$2,000 - $4,999
Political Donations
Columbia Property Trust, Inc. Real Estate | Atlanta, GA

Part of Columbia Property Trust functions as real estate investment trust. Its portfolio includes 16 office properties containing eight million square feet, concentrated in New York, San Francisco, Atlanta and Washington, D.C. The company was founded on July 3, 2003 and is headquartered in Atlanta, GA.