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Joseph Brendan Zawacki

Pershing LLC

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About Joseph Brendan Zawacki

Joseph Brendan Zawacki has been in the industry since May 6, 2004. Currently, Joseph is registered with Pershing LLC and BNY Mellon Capital Markets, LLC. Previously, Joseph was registered with ING FINANCIAL MARKETS LLC, DAIWA CAPITAL MARKETS AMERICA INC., C & CO/PRINCERIDGE LLC, UBS SECURITIES LLC, UBS FINANCIAL SERVICES INC. and FAHNESTOCK & CO. INC.

Firm Information

Joseph Zawacki 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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Joseph Zawacki’s Registration & Firm History

NY

09/04/2024 - Present

Pershing LLC (NEW YORK NY)

NY

11/27/2018 - 06/22/2021

ING FINANCIAL MARKETS LLC (NEW YORK NY)

NY

01/07/2014 - 06/05/2018

DAIWA CAPITAL MARKETS AMERICA INC. (NEW YORK NY)

NY

10/28/2011 - 08/15/2013

C & CO/PRINCERIDGE LLC (NEW YORK NY)

CT

03/27/2007 - 04/12/2011

UBS SECURITIES LLC (STAMFORD CT)

NJ

12/09/2002 - 04/09/2007

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

NY

06/26/2002 - 07/29/2002

FAHNESTOCK & CO. INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/02/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/05/2006

Series 24 - General Securities Principal Examination

BC

Issued 07/19/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 06/05/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/28/2004

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 06/25/2002

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 Joseph Brendan Zawacki.
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