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February 11, 2016 11:11 PM ET

Capital Markets

Company Overview of Pershing LLC

Company Overview

Pershing LLC provides technology, operational, trading, investment, and practice management solutions to help financial services firms and advisors. It develops communications and data processing systems to provide financial organizations with control and access to information, including trade/order processing browse and corrections; customized compliance analysis and reporting; new account openings and changes; client information, including activity, positions, and balances; dial-up and Internet-accessible brokerage workstation; reorganization and ACAT status; commission and bond calculators; bond order entry system; real-time market data; and interactive voice response services. It also of...

One Pershing Plaza

10th Floor

Jersey City, NJ 07399

United States

Founded in 1939

Phone:

201-413-2521

Fax:

201-413-5268

Key Executives for Pershing LLC

Chief Executive Officer
Chief Financial Officer
Member of Executive Committee and Chief Executive Officer of Pershing Advisor Solutions LLC
Chief Executive Officer of Investment Services for BNY Mellon and Vice Chairman of Investment Services for BNY Mellon
Head of Managed Investments Business
Compensation as of Fiscal Year 2015.

Pershing LLC Key Developments

Pershing LLC Appoints Lori Hardwick as New Chief Operating Officer, Effective February 29, 2016

Pershing LLC announced that Lori Hardwick has been named the company's new chief operating officer, effective February 29, 2016. Hardwick joins Pershing from Envestnet and will succeed Lisa Dolly, who was recently appointed Pershing's new chief executive officer. Since joining Envestnet at its inception nearly 16-years ago, Hardwick served in a variety of roles managing its enterprise, sales, services, advisor orientation and on-boarding divisions. She most recently served as the company's group president of advisory services, overseeing all of its enterprise relationship management, institutional and global advisory sales, strategic partnerships, and practice management programs.

Pershing LLC Announces Management Changes

Pershing LLC announced that Lisa Dolly has been named as the company's new chief executive officer, effective February 16, 2016. Dolly, currently the firm's chief operating officer, succeeds Ron DeCicco, who after a long and distinguished 45-year career with Pershing, has decided to retire from his role as chief executive officer of Pershing. As part of the leadership transition, he will serve as an executive advisor over the next year working closely with Dolly, Pershing's executive committee and key clients. Dolly is a member of Pershing's executive committee and BNY Mellon's Operating Committee. Over her 25-year career at Pershing, she has held numerous leadership roles prior to becoming Pershing's COO.

Pershing LLC Adds Four Third-Party Model Providers to its Retirement Plan Network

Pershing LLC announced that it has added four third-party model providers to its Retirement Plan Network, a platform that provides advisors with tools, solutions and technology to service their retirement plan business. The model providers added to the platform include 3D Asset Management, Efficient Market Advisors, Morningstar Investment Services Inc. and Wilshire Associates Incorporated. The new model provider additions provide a diverse menu of goals-based and target-date models. Each manager was selected for its unique perspective on model construction and management. In addition to providing professionally managed investment options, Pershing's Retirement Plan Network features Retirement Model Manager for plan advisors who wish to manage their own investment options. Through this new manager, advisors can create and manage models— which they can deliver across recordkeepers and plans— without having to log into separate systems. Retirement Model Manager, and the addition of four model providers, builds on a host of other resources already available on Pershing's Retirement Plan Network. Other solutions available on the platform include an integrated network of independent recordkeepers, investment products, retirement plan tools and practice management solutions. Pershing plans to add more recordkeepers and third-party model providers to the platform in the future.

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