Deborah A. Padula
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Deborah A. Padula, who also goes by Deborah Ann Padula, Deborah Padula, Deborah Padula-genna, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1988. Deborah had worked at 9 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2015 - December 7, 2023
PERSHING LLC
December 11, 2013 - June 4, 2015
J.P. MORGAN SECURITIES LLC
March 31, 2008 - December 31, 2008
J.P. MORGAN SECURITIES LLC
March 31, 2008 - November 18, 2013
J.P. MORGAN CLEARING CORP.
August 21, 2007 - March 11, 2008
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 29, 2002 - August 21, 2007
RYAN BECK & CO.
August 29, 2002 - October 8, 2002
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 29, 2002 - August 28, 2002
RYAN BECK & CO.
April 6, 1992 - May 13, 2002
GRUNTAL & CO., L.L.C.
October 16, 1990 - April 21, 1992
NORTHEAST BROKERAGE SERVICES CORPORATION
October 5, 1988 - October 24, 1990
WAMU INVESTMENTS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 7/31/2023
Municipal Securities Representative ExaminationCurrent Firm
PERSHING LLC
CRD#: 7560 / SEC#: , 8-17574
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERSHING GROUP LLC | HOLDING COMPANY | |
| BADGER, ERIC CHRISTOPHER | BOARD MEMBER | 8040351 |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | BOARD MEMBER, PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| KEARNEY, JAMES FRANCIS III | BOARD MEMBER | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 5177277 |
| MAJIYAGBE, ELIZABETH OLAIDE | BOARD MEMBER | 7013772 |
| O'LAUGHLEN, VICTOR FRANCIS JR | BOARD MEMBER | 8041737 |
| SIMMONDS, AINSLIE JANE | BOARD MEMBER | 6047968 |
| VITALE, JASON DOMINICK | BOARD MEMBER | 8038160 |
| YOUNG, LYNN MARIE | CHIEF COMPLIANCE OFFICER | 1982726 |
Disclosures
| Regulatory Event | 74 |
| Arbitration | 32 |
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.
