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Daniel R. Spellacy

Pershing LLC

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About Daniel R. Spellacy

Daniel Spellacy is a financial advisor who has been in the industry since June 27, 2004. Daniel is currently registered with Pershing LLC and Pershing Advisor Solutions LLC in Florida. Daniel has a Series 7, Series 9, Series 10, Series 24, and Series 63 license. Daniel has previously been registered with Morgan Keegan & Company, Inc. and Amsouth Investment Services, Inc.

Firm Information

Daniel Spellacy 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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Daniel Spellacy’s Registration & Firm History

FL

11/17/2021 - Present

Pershing LLC (LAKE MARY FL)

FL

04/29/2010 - 09/20/2010

MORGAN KEEGAN & COMPANY, INC. (DELAND FL)

TN

02/13/2007 - 12/31/2007

MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)

FL

04/25/2006 - 02/13/2007

AMSOUTH INVESTMENT SERVICES, INC. (ORLANDO FL)

TX

05/26/2000 - 07/27/2004

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

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Licenses & Designations

BC

Issued 07/11/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/20/2023

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2004

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/20/2003

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/25/2000

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 Daniel R. Spellacy.
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