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Stacey Ann Borchardt

Pershing LLC

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About Stacey Ann Borchardt

Stacey Ann Borchardt is a financial advisor with over 23 years of experience in the industry. Stacey is currently registered with Pershing LLC and has previously been registered with BBVA Securities Inc., BBVA Compass Investment Solutions, Inc, PaineWebber Incorporated and Wells Fargo Securities Inc. Stacey holds a Series 7, Series 52, Series 53, Series 24, and Series 63 license and is registered in New Jersey and Texas.

Firm Information

Stacey Borchardt 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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Stacey Borchardt’s Registration & Firm History

NJ

04/12/2022 - Present

Pershing LLC (JERSEY CITY NJ)

TX

05/16/2013 - 01/12/2022

BBVA SECURITIES INC. (DALLAS TX)

TX

05/25/2000 - 05/16/2013

BBVA COMPASS INVESTMENT SOLUTIONS, INC (RICHARDSON TX)

NJ

02/02/2000 - 05/10/2000

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

CA

02/01/1999 - 02/15/2000

WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)

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Licenses & Designations

BC

Issued 03/12/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/14/2006

Series 53 - Municipal Securities Principal Examination

BC

Issued 10/15/2000

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/30/1999

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 Stacey Ann Borchardt.
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