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Frank Paul Mutterer

Pershing LLC

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About Frank Paul Mutterer

Frank Paul Mutterer is a financial professional with over 20 years of experience in the industry. Frank has held various roles at several leading financial firms including Citigroup Global Markets Inc., Refco Securities, LLC, and Barclays Capital Inc. Currently, Frank is registered with Pershing LLC and Pershing Advisor Solutions LLC. Frank has a strong understanding of the financial markets and has a commitment to providing clients with personalized financial advice.

Firm Information

Frank Mutterer 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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Frank Mutterer’s Registration & Firm History

NJ

12/01/2017 - Present

Pershing LLC (JERSEY CITY NJ)

NJ

08/13/2014 - 01/05/2017

GAIN SECURITIES (BEDMINSTER NJ)

NY

02/13/2007 - 03/21/2014

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

06/28/2000 - 04/08/2005

REFCO SECURITIES, LLC (NEW YORK NY)

NY

06/08/1999 - 10/15/1999

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

03/05/1999 - 05/20/1999

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 02/16/1999

Series 27 - Financial and Operations Principal Examination

BC

Issued 01/02/2023

SIE - Securities Industry Essentials Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional 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 Frank Paul Mutterer.
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