SB
Sergio Bordenabe
PERSHING
New York, NY 10286
Some features on this profile are disabled
CRD#: 1786060
SB
Professional summary
Sergio Bordenabe, who also goes by Sergio Ruben Bordenabe, Sergio Rubien Bordenabe, Sergio R Bordenabe, is a registered financial professional currently at PERSHING LLC located in New York, New York and BNY MELLON CAPITAL MARKETS, LLC located in New York, New York.
Sergio is registered as a RR (Registered Representative) and started their career in finance in 1988. Sergio has worked at 20 firms and has passed the Series 65, Series 63, Series 52TO, Series 57TO, SIE, Series 55, Series 3, Series 7 and Series 30 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sergio Ruben Bordenabe | Sergio Rubien Bordenabe | Sergio R Bordenabe
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Sergio Bordenabe's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 28, 2022 - Present
PERSHING LLC
Office #1: 240 Greenwich Street, New York, NY 10286BD
CRD#: 7560
New York, NY
Current
February 5, 2026 - Present
BNY MELLON CAPITAL MARKETS, LLC
Office #1: 240 Greenwich Street, New York, NY 10286BD
CRD#: 17454
New York, NY
Past
January 9, 2019 - June 14, 2022
HARRISDIRECT LLC
RIA
CRD#: 42159
Jersey City, NJ
Past
January 4, 2019 - June 14, 2022
E*TRADE SECURITIES LLC
BD
CRD#: 29106
Jersey City, NJ
Past
June 20, 2018 - August 9, 2018
WBI INVESTMENTS, LLC
RIA
CRD#: 106336
RED BANK, NJ
Past
February 26, 2018 - August 9, 2018
MILLINGTON SECURITIES, INC.
BD
CRD#: 147298
RED BANK, NJ
Past
July 13, 2015 - December 14, 2017
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
Monteville, NJ
Past
April 9, 2013 - July 17, 2013
HILLTOP SECURITIES INC.
BD
CRD#: 6220
BLOOMFIELD, NJ
Past
February 8, 2012 - April 9, 2013
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
NEW YORK, NY
Past
August 3, 2011 - November 30, 2011
COWEN PRIME SERVICES LLC
BD
CRD#: 153397
NEW YORK, NY
Past
December 17, 2010 - January 5, 2011
SRT SECURITIES LLC
BD
CRD#: 33725
BIRMINGHAM, MI
Past
January 16, 2009 - August 18, 2011
ALARIS TRADING PARTNERS, LLC
BD
CRD#: 126996
JERSEY CITY, NJ
Past
February 5, 2007 - January 21, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
FLORHAM PARK, NJ
Past
January 27, 2007 - January 21, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
FLORHAM PARK, NJ
Past
March 7, 2006 - December 18, 2006
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
BIRMINGHAM, AL
Past
February 14, 2006 - March 15, 2006
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
March 7, 2005 - February 14, 2006
JEFFERIES LLC
BD
CRD#: 2347
NEW YORK, NY
Past
January 7, 2005 - February 22, 2005
FHN FINANCIAL SECURITIES CORP.
BD
CRD#: 46346
MEMPHIS, TN
Past
January 24, 1995 - January 7, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
BD
CRD#: 3466
NEW YORK, NY
Past
July 20, 1990 - January 15, 1995
MUFG SECURITIES AMERICAS INC.
BD
CRD#: 19685
NEW YORK, NY
Past
October 19, 1988 - October 4, 1989
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/28/2022)
RR
Alaska(6/28/2022)
RR
Arizona(6/28/2022)
RR
Arkansas(6/28/2022)
RR
California(6/28/2022)
RR
Colorado(6/28/2022)
RR
Connecticut(6/28/2022)
RR
Delaware(6/28/2022)
RR
District of Columbia(6/28/2022)
RR
Florida(6/28/2022)
RR
Georgia(6/28/2022)
RR
Hawaii(6/28/2022)
RR
Idaho(6/28/2022)
RR
Illinois(6/28/2022)
RR
Indiana(6/28/2022)
RR
Iowa(6/28/2022)
RR
Kansas(6/28/2022)
RR
Kentucky(6/28/2022)
RR
Louisiana(6/28/2022)
RR
Maine(6/28/2022)
RR
Maryland(6/28/2022)
RR
Massachusetts(6/28/2022)
RR
Michigan(6/28/2022)
RR
Minnesota(6/28/2022)
RR
Mississippi(6/28/2022)
RR
Missouri(6/28/2022)
RR
Montana(6/28/2022)
RR
Nebraska(6/28/2022)
RR
Nevada(6/28/2022)
RR
New Hampshire(6/28/2022)
RR
New Jersey(6/28/2022)
RR
New Mexico(6/28/2022)
RR
New York(6/28/2022)
RR
North Carolina(6/28/2022)
RR
North Dakota(6/28/2022)
RR
Ohio(6/28/2022)
RR
Oklahoma(6/28/2022)
RR
Oregon(6/28/2022)
RR
Pennsylvania(6/28/2022)
RR
Puerto Rico(6/28/2022)
RR
Rhode Island(6/28/2022)
RR
South Carolina(6/28/2022)
RR
South Dakota(6/28/2022)
RR
Tennessee(6/28/2022)
RR
Texas(6/28/2022)
RR
Utah(6/28/2022)
RR
Vermont(6/28/2022)
RR
Virgin Islands(6/28/2022)
RR
Virginia(6/28/2022)
RR
Washington(6/28/2022)
RR
West Virginia(6/28/2022)
RR
Wisconsin(6/28/2022)
RR
Wyoming(6/28/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 8/1/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 1/5/2010
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
SRO Registrations
RR
New York Stock Exchange
Current Firm
BM
BNY MELLON CAPITAL MARKETS, LLC
BNY CAPITAL MARKETS | MELLON INVESTMENT PRODUCTS COMPANY | MELLON FINANCIAL SERVICES CORPORATION | MELLON FINANCIAL MARKETS, LLC | MELLON FINANCIAL MARKETS, INC. | BNY MELLON CAPITAL MARKETS, LLC
CRD#: 17454 / SEC#: , 8-35255
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
240 Greenwich Street, New York, NY 10286
Mailing Address
240 Greenwich Street 3rd Floor, New York, NY 10286
Phone number
(212) 815-4972
Established
Delaware since 12/29/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY CAPITAL MARKETS HOLDINGS, INC. | SOLE SHAREHOLDER | |
| BARYSH, ROBERT PHILIP | CHIEF OPERATIONS OFFICER (COO), PRINCIPAL OPERATIONS OFFICER | 2800329 |
| DUFFANY, STEPHEN JOHN | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2535640 |
| GOODHEART, JOHN | BOARD OF MANAGERS | 2419623 |
| HIGGINS, ALISON MATTHESEN | BOARD OF MANAGERS, CHIEF COMPLIANCE OFFICER (CCO) | 6718782 |
| KLINGER, DANIEL ADAM | BOARD OF MANAGERS | 2983871 |
| LYNCH, ROBERT E | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 2981333 |
| MCCORMICK, JEFFREY | BOARD OF MANAGERS | 5261504 |
| SKOKO, DRAGAN | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 4394961 |
Disclosures
| Regulatory Event | 25 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
