Stacy V. Castillo
Professional summary
Stacy V Castillo is a registered financial professional currently at PERSHING LLC located in New York, New York.
Stacy is registered as a RR (Registered Representative) and started their career in finance in 2022. Stacy has worked at 2 firms and has passed the Series 99TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stacy V Castillo's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 30, 2022 - Present
PERSHING LLC
Office #1: 240 Greenwich Street, New York, NY 10286May 20, 2022 - October 21, 2022
E*TRADE SECURITIES LLC
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
What does exam status mean?
Series 99TO
Passed: 5/20/2022
Operations Professional ExaminationFINRA
Current 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 |
| EISENBERG, MATTHEW | CHIEF COMPLIANCE OFFICER | 4305269 |
| LOFLING, JASON ROBERT | BOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 5177277 |
| NICHOLSON-FLORENCE, JONATHAN | BOARD MEMBER, CHIEF RISK OFFICER | 6131790 |
| O'LAUGHLEN, VICTOR FRANCIS JR | BOARD MEMBER | 8041737 |
| UDESHI, NEHAL | BOARD MEMBER | 5194790 |
| VITALE, JASON DOMINICK | BOARD MEMBER | 8038160 |
Disclosures
| Regulatory Event | 74 |
| Arbitration | 32 |
Red Flags
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