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Jorge Nieves aponte

Pershing LLC

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About Jorge Nieves aponte

Jorge Nieves aponte is a financial advisor with Pershing LLC. Jorge has been in the financial services industry for over 19 years. Jorge's experience includes working with UBS Financial Services Inc. and HSBC Securities (USA) Inc., where Jorge held various roles. Jorge is registered in Florida and New Jersey. Jorge holds Series 7, Series 66, Series 52TO, and SIE licenses.

Firm Information

Jorge Nieves aponte 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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Jorge Nieves aponte’s Registration & Firm History

FL

02/19/2024 - Present

Pershing LLC (LAKE MARY FL)

FL

10/13/2017 - 02/13/2024

UBS FINANCIAL SERVICES INC. (MELBOURNE FL)

FL

08/08/2007 - 10/26/2017

HSBC SECURITIES (USA) INC. (MIAMI FL)

PR

05/10/2006 - 06/28/2007

CITICORP FINANCIAL SERVICES CORPORATION (SAN JUAN PR)

PR

08/10/2004 - 05/08/2006

POPULAR SECURITIES, INC. (SAN JUAN PR)

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Licenses & Designations

BOTH

Issued 11/06/2009

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/19/2024

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/09/2004

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 2 public disclosures for Jorge Nieves aponte. Review regulatory record here.
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