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Stephanie Ann Bograd

Pershing LLC

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About Stephanie Ann Bograd

Stephanie Bograd is a financial professional with over 20 years of experience in the securities industry. Stephanie is currently registered with Pershing LLC in New York, NY. Prior to that, Stephanie was registered with State Street Global Markets, LLC and State Street Global Advisors Funds Distributors, LLC in Boston, MA. Stephanie has a wide range of experience in the financial services industry. Her previous experience includes roles at Citigroup Global Markets Inc. and Citicorp Investment Services in New York, NY. Stephanie holds a Series 7, Series 63 and SIE license.

Firm Information

Stephanie Bograd 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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Stephanie Bograd’s Registration & Firm History

NY

09/09/2024 - Present

Pershing LLC (NEW YORK NY)

MA

05/01/2017 - 03/02/2020

STATE STREET GLOBAL MARKETS, LLC (BOSTON MA)

MA

03/26/2015 - 05/01/2017

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC (BOSTON MA)

NY

05/06/2005 - 10/17/2014

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

08/28/1995 - 04/29/2005

CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)

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Licenses & Designations

BC

Issued 11/16/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/26/2023

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/26/1995

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 Stephanie Ann Bograd.
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