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Ian Yat-shing Mak

Pershing LLC

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About Ian Yat-shing Mak

Ian Yat-shing Mak is a financial professional with over nine years of experience in the industry. Ian Mak is currently registered with Pershing LLC, where Ian Mak has been employed since August 2019. Prior to this, Ian Mak worked at RBC Capital Markets, LLC and Credit Suisse Securities (USA) LLC. Ian Mak holds the Series 63, Series 7, Series 99TO, and SIE licenses, demonstrating a commitment to professional development and a broad range of expertise. Ian Mak is registered in New Jersey and is committed to providing clients with comprehensive financial advice and services.

Firm Information

Ian Mak 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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Ian Mak’s Registration & Firm History

NJ

08/26/2019 - Present

Pershing LLC (JERSEY CITY NJ)

NJ

05/10/2016 - 08/28/2019

RBC CAPITAL MARKETS, LLC (Jersey City NJ)

NY

04/10/2014 - 05/16/2016

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/02/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/10/2014

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 Ian Yat-shing Mak.
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