Joshua S. Pessin

VANDERBILT SECURITIES

Woodbury, NY 11797

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CRD#: 2134058

Professional summary

Joshua Samuel Pessin, who also goes by Josh Pessin, is a registered financial professional currently at VANDERBILT SECURITIES, LLC located in Woodbury, New York.

Joshua is registered as a RR (Registered Representative) and started their career in finance in 1998. Joshua has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Josh Pessin

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joshua Samuel Pessin's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 18, 2016 - Present

VANDERBILT SECURITIES, LLC

Office #1: 125 Froehlich Farm Blvd., Woodbury, NY 11797

CRD#: 5953

Woodbury, NY

Past

April 14, 2003 - August 18, 2016

BISHOP, ROSEN & CO., INC.

CRD#: 1248

NEW YORK, NY

Past

April 29, 2002 - April 22, 2003

RYAN BECK & CO.

CRD#: 3248

FLORHAM PARK, NJ

Past

June 17, 1999 - May 13, 2002

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

July 1, 1998 - June 23, 1999

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

April 21, 1998 - July 1, 1998

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(6/6/2025)

Colorado
(8/18/2016)

Connecticut
(6/20/2024)

Florida
(8/18/2016)

Missouri
(8/18/2016)

New Jersey
(8/18/2016)

New York
(8/18/2016)

North Carolina
(8/18/2016)

Pennsylvania
(7/22/2024)

South Carolina
(8/18/2016)

Exams

State Security Law Exam

Series 63

Date: 3/15/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/20/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

VANDERBILT SECURITIES, LLC

RICHARDT-ALYN & CO. | VANDERBILT SECURITIES, LLC | VANDERBILT SECURITIES

CRD#: 5953 / SEC#: , 8-16712

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

125 Froehlich Farm Blvd., Woodbury, NY 11797

Mailing Address

125 Froehlich Farm Blvd., Woodbury, NY 11797

Phone number

(631) 845-5100

Established

New York since 12/05/2001

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
VANDERBILT CAPITAL, LLC	SOLE OWNER
ANTENOR, JR, DANIEL	CHIEF OPERATIONS OFFICER/OPTIONS/MUNI	5839052
DISTANTE, STEPHEN ALFRED	CEO - LIMITED PARTNER	2206574
PLAPP, MEGAN LYNN	FINOP, POO, PFO, CFO	6790596
THOMAS, MICHELLE DENISE	CHIEF COMPLIANCE OFFICER	2210435
TRIFILETTI, JOSEPH JOHN	PRESIDENT	5295897

Disclosures

Regulatory Event	5
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.

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Advisor Monitoring

Firm Stability Insights

Joshua S. Pessin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joshua Samuel Pessin's CRS (Customer Relationship Summary).

Certified licenses

Experience

BISHOP, ROSEN & CO., INC.

RYAN BECK & CO.

GRUNTAL & CO., L.L.C.

COWEN AND COMPANY

FINANCIAL SQUARE PARTNERS

State Registrations and Notice Filings

Exams

Series 63

Date: 3/15/1999

SIE

Date: 10/1/2018

Series 7

Date: 4/20/1998

FINRA

Current Firm

VANDERBILT SECURITIES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VANDERBILT SECURITIES, LLC

TRUST BUT VERIFY

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