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Darwin A. Pauta

Pershing LLC

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About Darwin A. Pauta

Darwin Pauta is a financial professional with over 15 years of experience in the securities industry. Darwin has a wide range of experience, having worked for both Pershing LLC and Pershing Advisor Solutions LLC. Darwin's expertise covers a variety of securities products, including municipal securities and operations. Darwin holds the Series 7, 63, 52, and 99 securities licenses. Darwin is registered to offer securities in both New Jersey and New York.

Firm Information

Darwin Pauta 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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Darwin Pauta’s Registration & Firm History

NJ

11/08/2021 - Present

Pershing LLC (JERSEY CITY NJ)

NJ

12/06/2007 - 10/01/2013

PERSHING LLC (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 02/11/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/31/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/05/2007

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 Darwin A. Pauta.
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