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William Paul Frisch

Pershing LLC

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About William Paul Frisch

William Paul Frisch is a securities professional with over 6 years of experience in the financial services industry. William is currently registered with Pershing LLC, a leading financial services firm, and holds Series 7, 9, 10 and 63 licenses. William has previously worked at Charles Schwab & Co., Inc., where he was registered as both a broker-dealer and investment advisor. William is licensed in Florida and New Jersey and is committed to providing his clients with comprehensive financial advice.

Firm Information

William Frisch 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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William Frisch’s Registration & Firm History

FL

10/09/2018 - Present

Pershing LLC (LAKE MARY FL)

FL

08/01/2012 - 06/22/2018

CHARLES SCHWAB & CO., INC. (ORLANDO FL)

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Licenses & Designations

BC

Issued 02/25/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/05/2013

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 06/03/2013

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 06/22/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/31/2012

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 6 public disclosures for William Paul Frisch. Review regulatory record here.
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