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Arthur Melvin Alston

Pershing LLC

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About Arthur Melvin Alston

Arthur Melvin Alston is a financial professional with over 20 years of experience in the industry. Arthur is currently registered with Pershing LLC and Pershing Advisor Solutions LLC in Florida and New York. Arthur has held previous roles with CHARLES SCHWAB & CO., INC. in both Texas and Florida. Arthur holds the Series 7, Series 9, Series 10, Series 52TO, and SIE licenses.

Firm Information

Arthur Alston is currently registered with Pershing LLC. Pershing LLC is a Limited Liability Company formed in January 2003. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have one approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

692

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Arthur Alston’s Registration & Firm History

FL

11/08/2021 - Present

Pershing LLC (LAKE MARY FL)

FL

03/06/2003 - 01/09/2008

CHARLES SCHWAB & CO., INC. (ORLANDO FL)

TX

11/16/1999 - 12/31/2002

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

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Licenses & Designations

BC

Issued 12/06/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/23/2006

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 09/07/2006

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 08/01/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/15/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Arthur Melvin Alston.
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