PERSHING LLC
JERSEY CITY, NJ

Five Key Themes of Business Transformation Our research uncovered how firms and financial professionals are coping with industry and regulatory change. Know an Advisor Making a Difference in the Community? BNY Mellon Pershing’s Tax Guide can help investors and tax professionals prepare tax returns. When you choose a company to work with, you want to know that its employees are personally invested. You want to be sure that For almost 80 years, many of the most complex financial institutions in the world have chosen to work with BNY Mellon's Pershing. In an ever-changing marketplace, we have been trusted, tested and proven to protect our clients’ interests while providing them with the most innovative solutions possible. Our clients are leaders in their fields and they choose Pershing because we are a leader in ours. As a business-to-business provider, we provide global financial solutions to advisors, broker-dealers, family offices, hedge and '40 Act fund managers, registered investment advisor firms and wealth managers. We help our clients power their businesses and maximize opportunities because they can rely on our industry expertise, our innovative solutions and our powerful technology. We provide insightful solutions that help create a competitive advantage for our clients—so they can help provide a more secure financial future for their clients. At Pershing, we never forget that all of our relationships are personal. Every employee we have, every action we take comes back to one core commitment: a personal investment in Our Businesses BNY Mellon's Pershing When you choose to work with BNY Mellon's Pershing, you gain access to a wealth of resources and global team of experts dedicated to helping you grow your business. What truly distinguishes us is our commitment: we are personally invested in our clients’ success. Pershing helps clients improve profitability and drive growth, create capacity and efficiency, attract and retain talent, and manage risk and regulation. With a network of 23 offices worldwide, Pershing provides business-to-business solutions to clients representing more than 7 million investor accounts globally. Pershing LLC (member FINRA, NYSE, SIPC) is a BNY Mellon company. is a global investments company dedicated to helping its clients manage and service their financial assets throughout the investment lifecycle. BNY Mellon delivers informed investment management and investment services in 35 countries and more than 100 markets. , which means we adhere to a higher level of liquidity and capitalization requirements along with stricter regulation. Furthermore, as a publicly owned company, BNY Mellon embraces a heightened level of independent evaluation of its systems and financial health. Our G-SIB status and public ownership underscore the fact that our clients’ assets are backed by much more than just words. The Pershing family of companies provides a seamless array of solutions for clients around the globe. BNY Mellon’s Pershing and its affiliates provide advisors, broker-dealers, family offices, hedge fund and ’40 Act fund managers, registered investment advisor firms and wealth managers with a broad suite of global financial business solutions. Many of the world’s most sophisticated and successful financial services firms rely on Pershing for clearing and custody, investment and retirement solutions, technology, enterprise data management, trading services, prime brokerage and business consulting BNY Mellon’s Pershing Advisor Solutions is a leading provider of business management, execution and financing solutions with custody at its core. Our clients are professionally managed, growth-oriented wealth management firms and institutional providers that serve clients with complex financial lives leading provider of enterprise data management solutions leading provider of managed account solutions BNY Mellon’s Pershing Limited and its subsidiaries provide broker-dealers, asset managers, intermediary firms, IFAs, and financial institutions across EMEA with a comprehensive range of products, services, and solutions BNY Mellon’s Pershing Securities Australia Pty Ltd (ABN 60 136 184 962, AFSL No. 338264) provides a Pershing LLC (member FINRA/NYSE /SIPC) is a BNY Mellon company. Pershing Advisor Solutions LLC, member FINRA, SIPC, is a wholly owned subsidiary of The Bank of New York Mellon Corporation (BNY Mellon). Clearing, custody or other brokerage services may be provided by Pershing LLC, member FINRA, NYSE, SIPC. Pershing Advisor Solutions relies on its affiliate Pershing LLC to provide execution services. Bank custody and private banking solutions are provided by BNY Mellon, N.A., member FDIC, a wholly owned subsidiary of The Bank of New York Mellon Corporation. Advisor Solutions refers to the brokerage custody business of Pershing Advisor Solutions LLC and/or the bank custody solutions business of BNY Mellon, N.A. Pershing Limited is an affiliate of Pershing LLC. Registered Office: Capstan House, One Clove Crescent, East India Dock, London E14 2BH. Authorised and Regulated by the Financial Conduct Authority in the UK, no. 124415. Pershing Securities International Limited is regulated by the Central Bank of Ireland. Pershing (Channel Islands) Limited is regulated by the Jersey Financial Services Commission. Pershing Securities Australia Ltd. (ABN 60 136 184 962, AFSL No. 338264) holds an Australian Financial Services Licence and is a market participant of the ASX and a clearing participant of the Australian Clearing House and is an affiliate of Pershing LLC. Albridge Solutions, Inc. is an affiliate of Pershing LLC. Lockwood Advisors, Inc. is an investment adviser registered in the United States under the Investment Advisers Act of 1940, an affiliate of Pershing LLC and a wholly owned subsidiary of The Bank of New York. Our people—and their commitment to our clients’ success—are what truly set Pershing apart. The members of our highly knowledgeable and skilled management team provide stability in leadership, averaging more than a decade each with Pershing. In addition, Pershing employees serve in leadership roles on hundreds of industry committees around the world, giving us the unique ability to advocate on our clients’ behalf around issues of policy and regulation.