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Stephen Wong Elliot

Pershing LLC

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About Stephen Wong Elliot

Stephen Wong Elliot is a financial professional with over a decade of experience in the financial services industry. Stephen has held positions at reputable firms such as Credit Suisse Securities (USA) LLC, Morgan Stanley & Co. LLC, and currently at Pershing LLC. Stephen holds a variety of licenses and certifications, including Series 7, Series 52TO, and SIE. Stephen is registered to conduct business in New Jersey and New York.

Firm Information

Stephen Elliot 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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Stephen Elliot’s Registration & Firm History

NY

06/25/2015 - Present

Pershing LLC (NEW YORK NY)

NY

06/30/2012 - 06/01/2015

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

05/06/2010 - 07/26/2011

MORGAN STANLEY & CO. LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/02/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/04/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/05/2010

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 Stephen Wong Elliot.
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