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ADDITIONAL SERVICES

TRADING SERVICES

EXECUTION

Cash Management

Comprehensive asset management, Corestone, combines all brokerage, checking, money market fund, and MasterCard debit card activity into a cohesive package, and consolidates the assets and transactions onto a monthly brokerage account statement.  Corestone is available in several packages, each offering different optional services, such as a reward program and online bill payment and presentment.

Money Funds

Intensify the growth potential of your portfolios by choosing to sweep your uninvested account balances to a money market fund in the Federated family.

Mutual Funds

We can offer an opportunity to invest in one of the largest and most diverse selections of onshore and offshore mutual funds in the industry, by accessing more than 23,000 mutual funds from more than 900 fund families through our mutual fund supermarket.

Retirement Planning

Promote a full line of flexible, investor-focused accounts, featuring a broad range of self-directed investment choices.  Our clients can take advantage of such products as Individual Retirement Accounts (IRAs), Roth IRAs, Mutual Fund-Only IRAs, and Rollover IRAs, as well as Education and Health Savings Accounts and 403(b)(7) custodial accounts.  Additionally, you can tap into a comprehensive range of employer-sponsored plans, such as simplified employee pension (SEP) plans, salary reduction SEP (SARSEP) plans, savings incentive match plan for employers (SIMPLE) plans and qualified retirement plans, including 401(k), Individual(k), profit sharing and money purchase pension plans.

Statements

Account statements are your most frequent client touch point and provide a concrete way to reinforce a high level of service.  Pershing’s brokerage account statements received DALBAR’s “Excellent” designation, and has been ranked #1 among firms in the Brokerage Industry category in the 11th and 12th annual Trends and Best Practice in Investor Statements survey published by DALBAR.

Account asset protection

Pershing remains focused on the safekeeping, servicing, segregation and reporting of assets held in their custody.
Pershing is a member of the Securities Investor Protection Corporation (SIPC®).  As a result, securities in your account are protected up to $500,000.  For details, please see sipc.org.  Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits from certain underwriters at Lloyd’s, in conjunction with another commercial insurance company. The excess of SIPC insurance program provides the following protection for Pershing LLC’s global client assets:

  •  An aggregate loss limit of $1 billion for eligible securities – over all client accounts
  •  A per-client loss limit of $1.9 million for cash awaiting reinvestment – within the aggregate loss limit of $1 billion

SIPC and the excess of SIPC insurance policy do not protect against loss due to market fluctuation.

An excess of SIPC claim would only arise if Pershing failed financially and client assets for covered accounts as defined by SIPC cannot be located due to theft, misplacement, destruction, burglary, robbery, embezzlement, abstraction, failure to obtain or maintain possession or control of client securities, or to maintain the special reserve bank account required by applicable rules.

The leader of the excess of SIPC coverage program is Lloyd’s, which currently holds A+ ratings from Standard & Poor’s (S&P), AA rating from Fitch and an A rating from A.M. Best. These ratings are based on the financial strength of the company and are subject to change by the rating agencies at any time. For more information about Lloyd’s, please see lloyds.com.

TRADING SERVICES

Fixed Income

Pershing’s full-service fixed income trading desks provide personal support and access to a comprehensive array of fixed income securities.  Pershing’s seasoned professionals leverage their extensive knowledge of fixed income markets and strategic alliances with bulge-bracket firms.

Equities and Options Trading

Pershing’s Agency Sales Trading Desk, Options Trading Desk, Foreign Equity Desk and networks of NYSE® floor brokers provide best execution for all equity and option orders.

EXECUTION

Best Execution

Today, when milliseconds count, you need reliable resources to help you achieve best execution in a dynamic and competitive marketplace. Pershing’s Best Execution Steering Committee provides overall leadership and guidance on execution quality and best execution monitoring, focusing on equities, options and fixed income.

Global Trading Solutions

Access markets worldwide through Pershing’s global solutions.  Pershing’s Foreign Equity Desk provides multi currency execution capabilities in more than 65 exchanges through Pershing’s own exchange memberships, local relationships and third-party electronic access.  Pershing’s foreign exchange capabilities facilitate the trading and conversion of nearly 50 of the world’s most widely held currencies, including spot and forward transactions.  Their experienced fixed income professionals offer expertise in non-US dollar-denominated bonds and are able to trade a wide array of global debt instruments.

Trading Technology

Pershing’s strategic systems architecture provides a basis for efficient, responsive, and flexible trading. Comprehensive security methods safeguard confidential data and account information at all times. Well-planned applications have the capacity to handle four times thrier peak volume. Using IBM® technology, they can deliver business continuity that is nearly seamless to you our clients.

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