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Jon Jay Stein

Pershing LLC

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About Jon Jay Stein

Jon Jay Stein is a financial professional with over 30 years of experience in the securities industry. Jon is currently registered with Pershing LLC in Jersey City, New Jersey. Jon previously worked at Deutsche Bank Securities Inc., ING Barings LLC and Bear, Stearns & Co. Inc. Jon holds Series 7, Series 52TO and Series 63 licenses and is a registered representative in New Jersey and New York. Jon is committed to providing clients with personalized financial advice and investment solutions.

Firm Information

Jon Stein 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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Jon Stein’s Registration & Firm History

NJ

08/27/2010 - Present

Pershing LLC (JERSEY CITY NJ)

NY

09/15/1999 - 06/15/2010

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NY

04/16/1999 - 07/01/1999

ING BARINGS LLC (NEW YORK NY)

NY

07/27/1988 - 09/02/1994

BEAR, STEARNS & CO. INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/22/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/01/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/07/2000

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 Jon Jay Stein.
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