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Ling X. Mai

Pershing LLC

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About Ling X. Mai

Ling X. Mai is a financial professional with over 18 years of experience in the securities industry. Ling is currently registered with Pershing LLC and is licensed in New York and New Jersey. Previously, Ling held positions at BNY Mellon Capital Markets, LLC and National Financial Services LLC. Ling holds several licenses, including Series 7, 55, 57, 63, 99, and SIE.

Firm Information

Ling Mai 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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Ling Mai’s Registration & Firm History

NY

12/17/2019 - Present

Pershing LLC (NEW YORK NY)

NY

01/02/2014 - 12/20/2019

BNY MELLON CAPITAL MARKETS, LLC (NEW YORK NY)

NY

06/28/2006 - 06/29/2018

PERSHING LLC (NEW YORK NY)

NJ

06/28/2005 - 07/10/2006

NATIONAL FINANCIAL SERVICES LLC (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 10/20/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/27/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/16/2015

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 06/27/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX 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 Ling X. Mai.
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