Pershing LLC — Customer Service: comprehensive professional guide

Overview: who Pershing serves and what customer service covers

Pershing LLC (a BNY Mellon company) is a global clearing and custody firm that supports broker-dealers, registered investment advisors (RIAs), family offices, and wealth managers. Customer service at Pershing is designed around B2B clearing relationships rather than retail-facing help desks: the primary client is the introducing firm, and Pershing’s operations are built to support the back-office, compliance, custody and clearing workflows that those firms rely on daily.

An expert view of Pershing customer service emphasizes three service domains: operational execution (settlements, clearing, custody), technical integration (API, file feeds, reporting), and escalation/compliance support (audit trails, regulatory requests, SIPC/FINRA coordination). Effective engagement requires different contact routes and SLAs depending on whether an inquiry is routine (reporting, account setup), urgent (failed settlement, market-impacting outage), or regulatory (exam or subpoena request).

How to contact Pershing and first-response expectations

Primary entry points for support are: the Pershing client portal (secure message/ticketing), designated phone lines provided to introducing firms, and account management teams assigned during onboarding. Because Pershing is a clearing vendor, most firms do not provide public retail phone numbers for account holders; instead, clients are routed through their introducing broker-dealer or advisor’s service desk to the Pershing channel assigned to that firm.

Typical internal SLAs you should expect and enforce in contracts: initial acknowledgement within 1–4 business hours for critical trading/settlement incidents, 24–48 hours for standard operational tickets, and 3–5 business days for product or integration requests that require development. For emergencies (failed clearing, production outages), escalate immediately to the firm-specific operations desk and ask for incident ticket numbers and expected remediation windows — Pershing publishes incident reports to affected clients via secure channels.

Onboarding and implementation support

Successful onboarding with Pershing requires coordination across legal, operations, compliance, and IT. Pershing assigns an implementation manager and provides an onboarding timeline with milestones: legal/documents (account agreements, clearing agreements), system testing (connectivity, file formats), and scheduled parallel processing (shadow runs). Typical onboarding projects for an RIA or introducing broker range from 6–12 weeks for standard setups to 3–6 months for complex integrations (multi-entity, international custody, or integrated OMS/OMS/TPA workflows).

Documents and items you will be asked to provide include firm CRD/CORP details, FATCA/CRS tax forms for relevant accounts, firm-level AML/KYC documentation, sample account-level data files, and contact lists for trade/operations/technology. Expect a test plan with day-by-day runbooks: test message exchanges, test trades through settlement, and reconciliation validation prior to cutover.

Operational support: settlements, margin, and reconciliation

Pershing’s customer service supports day-to-day clearing operations: trade capture and affirmations, settlement fails, corporate actions, margin calls, and automated reconciliations. When a settlement fail or exception occurs, critical inputs you must provide to Pershing’s team are: trade ticket reference, execution/execution time, contra-party identifier, and expected settlement date. Prompt, precise information reduces resolution time from days to hours for typical equity transactions.

Margin and collateral inquiries follow a structured escalation: day-end portfolio margin reports, intraday margin alerts, and margin call reconciliations. Best practice is to subscribe to Pershing’s automated margin feeds and reconcile margin ledgers daily; if a margin dispute occurs, open a ticket with the daily position snapshot and any held collateral detail so the operations analyst can recreate the intraday exposure.

Technology, reporting, and API support

Pershing provides a suite of electronic interfaces: secure FTP/SFTP file exchanges, FIX messaging for trade flow, and REST/JSON APIs for modern integrations plus batch reporting files (standardized CSV/XML formats). Customer service for technical issues typically breaks into two tracks: (1) connectivity and file transfer problems; and (2) data/format mapping and reporting discrepancies. For the former, have your network logs, SFTP audit timestamps, and IP/port details ready; for the latter, provide sample files, a clear mapping table, and the expected versus received values.

Reporting questions are common: end-of-day positions, cost-basis reporting, 1099 and tax document distribution, and regulatory reports. Pershing supports custom report builds but these often carry setup fees and lead times — expect 2–6 weeks for a custom report depending on complexity. Use test windows to validate reports prior to production runs and keep version-controlled mappings to speed future changes.

Practical checklists (documents and data to have ready)

• Operational ticket essentials: trade reference, clearing agent ID, execution timestamp, security identifier (CUSIP/ISIN), expected settlement date, and error logs/screenshots.
• Onboarding documents: firm legal agreement, W9/W8, AML/KYC pack, capacity/clearing letters, sample feed files, and technical contact list with emergency phone numbers.
• Integration items: SFTP credentials, allowed IP addresses, sample FIX session logs, report layout spec, data dictionary and timezone conventions (all timestamps in ET/UTC).

Escalation path and communication templates

• Normal issue: open secure portal ticket → include problem summary, expected impact, and attachments → request SLA and ticket number.
• Urgent/production outage: phone your firm’s designated Pershing operations desk immediately, send a concurrent secure portal ticket with “URGENT — OUTAGE” in the subject, and request incident manager assignment and estimated MTTR (mean time to recovery).
• Regulatory/exam: notify your compliance lead and request Pershing’s legal/records liaison; provide subpoena/exam reference, date ranges, and document types, and request delivery method and timeline in writing.

Where to find official details: always verify contact numbers, escalation paths, production status pages, fee schedules and client-specific SLAs on Pershing’s official site (https://www.pershing.com) or via your firm’s implementation manager or account executive. Because Pershing’s customer service is contractually bound and customized by client, the single most important step is maintaining up-to-date firm-level contact lists, technical whitelists, and a runbook with escalation templates so you can resolve issues efficiently and measurably.

What does Pershing LLC do?

An AI Overview is not available for this searchCan’t generate an AI overview right now. Try again later.AI Overview Pershing LLC, now known as BNY Pershing, is a financial services firm that provides clearing, custody, and investment solutions to financial institutions and advisors. It acts as a “clearing and custody” firm, handling the processing and record-keeping for trades and accounts, and also offers a range of investment products and services. Essentially, it’s a behind-the-scenes partner for many financial firms, enabling them to offer services to their clients.  Here’s a more detailed breakdown:

• Clearing and Custody: . Opens in new tabPershing handles the administrative and operational aspects of transactions, including settlement, record-keeping, and safekeeping of assets. 
• Investment Solutions: . Opens in new tabThey offer a variety of investment products, including mutual funds, ETFs, and alternative investments, as well as tools and platforms for advisors to manage their clients’ portfolios. 
• Technology and Infrastructure: . Opens in new tabPershing provides the technology and infrastructure that allows financial firms to operate efficiently and offer a wide range of services. 
• Support for Various Firms: . Opens in new tabThey serve a wide range of clients, including broker-dealers, wealth managers, and institutional firms, both in the US and internationally. 
• BNY Mellon Subsidiary: . Opens in new tabPershing is a subsidiary of The Bank of New York Mellon (BNY Mellon), a large global financial institution. 

AI responses may include mistakes. For financial advice, consult a professional. Learn moreBNY Mellon | Pershing – WelcomeBNY Pershing (member FINRA, NYSE, SIPC) is a leading provider of clearing and custody, trading and settlement, advisory and invest…BNY Mellon | PershingAbout | BNY PershingMany of the world’s most sophisticated and successful financial services firms have relied on BNY Pershing as the leader in cleari…BNY(function(){
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Does Pershing still exist?

BNY Pershing has been committed to the safekeeping, servicing, segregation and reporting of client assets for 85 years. BNY Pershing is proud to be a part of BNY, a global financial services company.

How do I contact Pershing LLC?

201-413-3333
You can find the company name on your statement, tax forms or your account application. BNY Pershing can verify the balance of your account. If you need an account balance verification, please call Customer Service at 201-413-3333.

How to get 1099 from Pershing LLC?

eDelivery provides the fastest and most secure access to clients’ tax documents including 1099 forms as well as other tax documents. To enroll in eDelivery, clients can log into their account at investor.pershing.com and select “Go Paperless” at the top of any page then follow the prompts for setup.

How do I contact BNY Mellon customer service?

1. Express Voice-Activated System. 1-800-645-6561, 24 hours a day / 7 days a week.
2. BNY Mellon Funds Representatives. 1-800-373-9387.
3. BNY Mellon Funds Sales Representatives. 1-800-782-6620.
4. BNY Mellon Brokerage Express Automated Account Access.
5. Brokerage Services Representatives.
6. BNY Advisor.
7. 403(b)(7)/Retirement Plan Inquiries.

Is Pershing LLC a bank?

Pershing LLC, Member FINRA, NYSE, and SIPC, is a wholly-owned subsidiary of BNY Mellon, the nation’s oldest continuously-operating bank, and one of the world’s leading providers of securities services.