Aufhauser Securities, Inc
Member: FINRA, SIPC.
Clearing on a fully disclosed basis through Pershing LLC, (an indirect, wholly-owned subsidiary of Bank of New York Mellon - NYSE BK).


Recent market events have generated increased demand for information regarding the strength of financial services providers.

Aufhauser Securities Inc. is an introducing broker, clearing on a fully disclosed basis with Pershing LLC. This means that all your assets are held with Pershing. Aufhauser never accepts checks, monies or securities from customers. You always send assets directly to Pershing at One Pershing Plaza, Jersey City NJ 07399.
Both Aufhauser and Pershing are members of SIPC. Pershing, in addition to the basic SIPC coverage, has secured what is called "excess SIPC" coverage; and of course, in addition, your assets are secured by Pershing's own balance sheet.

Pershing describes themselves as follows, according their website (link below):
"For over 75 years, many of the most complex financial institutions in the world have chosen to work with 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".

You can learn more about Pershing's financial condition and the safety and security of assets held in custody at Pershing from the useful information links provided below.

  • Pershing's Statement of Financial Condition

  • The Bank of New York Mellon, Financial Results

  • Securities Investor Protection Corporation (SIPC)