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EP

Edward H. Pershing

DFA SECURITIES LLC
Santa Monica, CA 90401
Some features on this profile are disabled
CRD#: 6664788
EP

Professional summary

Edward Harrington Pershing, who also goes by Edward Harrington Pershing, Harry Pershing, is a registered financial professional currently at DFA SECURITIES LLC located in Santa Monica, California.

Edward is registered as a RR (Registered Representative) and started their career in finance in 2016. Edward has worked at 4 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Edward Harrington Pershing | Harry Pershing

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 Edward Harrington Pershing'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®
None

Experience

Current

September 11, 2024 - Present

DFA SECURITIES LLC

Office #1: 1299 Ocean Avenue, Santa Monica, CA 90401
BD
CRD#: 10292
Santa Monica, CA
Past

February 9, 2022 - August 29, 2022

PIPER SANDLER & CO.

BD
CRD#: 665
New York, NY
Past

November 16, 2018 - February 16, 2022

CORNERSTONE MACRO LLC

BD
CRD#: 168152
New York, NY
Past

July 8, 2016 - July 27, 2018

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHARLOTTE, NC

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
California
(9/12/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 7/23/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 7/27/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/8/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DS
DFA SECURITIES LLC
DFA SECURITIES INC. | DFA SECURITIES LLC

CRD#: 10292 / SEC#: , 8-27006

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
6300 Bee Cave Road Building One, Austin, TX 78746
Mailing Address
6300 Bee Cave Road Building One, Austin, TX 78746
Phone number
(512) 306-7400
Established
Delaware since 04/06/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DIMENSIONAL FUND ADVISORS LPDELAWARE LP AND SOLE MEMBER OF DFAS
BOOTH, DAVID GILBERTCHAIRMAN1031000
BUTLER, DAVID PAULCO-CHIEF EXECUTIVE OFFICER2305298
DALLMER, LISA MICHELECHIEF OPERATING OFFICER2586913
GRZELAK, BERNARD JAMESCHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL, AND PRINCIPAL OPERATING OFFICER4285750
NEWELL, CATHERINE LEEVICE PRESIDENT AND SECRETARY2890628
NOTELOVITZ, SELWYN JUSTINGLOBAL CHIEF COMPLIANCE OFFICER2886676
O'REILLY, GERARD KIERANCO-CHIEF EXECUTIVE OFFICER AND CO-CIO4982644

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.

Company Information

DFA SECURITIES LLC

CRD#: 10292Santa Monica, CA 90401

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