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Lisa Kathleen Darby

Pershing LLC

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About Lisa Kathleen Darby

Lisa Darby is a financial advisor with over 24 years of experience in the industry. Lisa is currently registered with Pershing LLC and Pershing Advisor Solutions LLC. Prior to joining Pershing Advisor Solutions LLC, Lisa worked at The Huntington Investment Company. Lisa holds the Series 65, Series 63, Series 24, Series 52TO, SIE, and Series 7 licenses.

Firm Information

Lisa Darby 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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Lisa Darby’s Registration & Firm History

FL

11/11/2021 - Present

Pershing LLC (LAKE MARY FL)

OH

06/08/1998 - 07/12/2012

THE HUNTINGTON INVESTMENT COMPANY (COLUMBUS OH)

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Licenses & Designations

IA

Issued 09/28/2006

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/03/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/15/2001

Series 24 - General Securities Principal Examination

BC

Issued 08/04/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/04/1998

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 Lisa Kathleen Darby.
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