Norman Pessin
Director/Board Member at AXES LLC
Net worth: 16 M $ as of 2024-03-30
Profile
Norman H.
Pessin is a Director of AXES LLC.
Previously, he worked in Neuberger Berman.
Mr. Pessin was also a Director of National Association of Securities Dealers and the Nasdaq Stock Market.
Known holdings in public companies
| Company | Date | Number of shares | Valuation | Valuation date |
|---|---|---|---|---|
| 2024-02-19 | 861,825 ( 4.94% ) | 6 M $ | 2024-03-30 | |
CHAMPIONS ONCOLOGY, INC.
5.46% | 2023-08-24 | 742,161 ( 5.46% ) | 4 M $ | 2024-03-30 |
IMMUCELL CORPORATION
8.31% | 2024-04-14 | 644,019 ( 8.31% ) | 3 M $ | 2024-03-30 |
TSS, INC.
6.80% | 2023-04-27 | 1,468,789 ( 6.80% ) | 926 806 $ | 2024-03-30 |
NEPHROS, INC.
2.06% | 2023-04-10 | 217,707 ( 2.06% ) | 476 778 $ | 2024-03-30 |
| 2023-04-19 | 981,284 ( 1.67% ) | 471 016 $ | 2024-03-30 | |
| 2024-03-27 | 57,972 ( 0.80% ) | 251 598 $ | 2024-03-30 | |
| 2023-10-09 | 38,133 ( 0.63% ) | 211 638 $ | 2024-03-30 | |
SIENTRA, INC.
4.74% | 2023-03-30 | 567,092 ( 4.74% ) | 133 267 $ | 2024-03-30 |
Norman Pessin active positions
| Companies | Position | Start |
|---|---|---|
AXES LLC
 AXES LLC Investment Banks/BrokersFinance AXES LLC provides financial brokerage services. It provides derivatives exchange, equity research, and international security services. The company is headquartered in New York, NY | Director/Board Member | - |
Former positions of Norman Pessin
| Companies | Position | End |
|---|---|---|
Financial Industry Regulatory Authority, Inc.
 Financial Industry Regulatory Authority, Inc. Investment Banks/BrokersFinance Financial Industry Regulatory Authority, Inc. engages in the provision of securities regulation, complementary compliance, and technology-based services. Its services include writing and enforcing rules governing the activities of securities firms with brokers, examining firms for compliance with those rules, fostering market transparency, and educating investors. The company was founded in 2007 and is headquartered in Washington, DC. | Director/Board Member | - |
The NASDAQ Stock Market, Inc.
 The NASDAQ Stock Market, Inc. Investment Banks/BrokersFinance The NASDAQ Stock Market, Inc. is the U.S. electronic stock market. With approximately 3,300 companies, it lists more companies and, on average, trades more shares per day than any other U.S. market. It is home to companies that are leaders across all areas of business including technology, retail, communications, financial services, transportation, media and biotechnology. NASDAQ is the primary market for trading NASDAQ-listed stocks | Director/Board Member | - |
LB Hercules Holdings LLC
 LB Hercules Holdings LLC Investment ManagersFinance LB Hercules Holdings LLC provides investment management and broker dealer services. It offers tax and financial planning, fiduciary services, financial advocacy and trust services to individuals, pension and profit sharing plans, banking and thrift institutions, investment companies, pooled investment vehicles, charitable organizations, corporations and state government entities. The company manages separate client focused equity, fixed income, balanced portfolios, no-load equity, fixed income mutual funds, closed-ended municipal bond funds, real estate funds and hybrid funds. Neuberger Berman Holdings was founded by Roy R. Neuberger, Robert Berman and Howard Lipman in 1939 and is headquartered in New York, NY. | Corporate Officer/Principal | - |
Experiences
Positions held
Connections
1st degree connections
1st degree companies
Male
Female
Members of the board
Executives
Linked companies
| Private companies | 4 |
|---|---|
LB Hercules Holdings LLC
LB Hercules Holdings LLC Investment ManagersFinance LB Hercules Holdings LLC provides investment management and broker dealer services. It offers tax and financial planning, fiduciary services, financial advocacy and trust services to individuals, pension and profit sharing plans, banking and thrift institutions, investment companies, pooled investment vehicles, charitable organizations, corporations and state government entities. The company manages separate client focused equity, fixed income, balanced portfolios, no-load equity, fixed income mutual funds, closed-ended municipal bond funds, real estate funds and hybrid funds. Neuberger Berman Holdings was founded by Roy R. Neuberger, Robert Berman and Howard Lipman in 1939 and is headquartered in New York, NY. | Finance |
The NASDAQ Stock Market, Inc.
The NASDAQ Stock Market, Inc. Investment Banks/BrokersFinance The NASDAQ Stock Market, Inc. is the U.S. electronic stock market. With approximately 3,300 companies, it lists more companies and, on average, trades more shares per day than any other U.S. market. It is home to companies that are leaders across all areas of business including technology, retail, communications, financial services, transportation, media and biotechnology. NASDAQ is the primary market for trading NASDAQ-listed stocks | Finance |
AXES LLC
AXES LLC Investment Banks/BrokersFinance AXES LLC provides financial brokerage services. It provides derivatives exchange, equity research, and international security services. The company is headquartered in New York, NY | Finance |
Financial Industry Regulatory Authority, Inc.
Financial Industry Regulatory Authority, Inc. Investment Banks/BrokersFinance Financial Industry Regulatory Authority, Inc. engages in the provision of securities regulation, complementary compliance, and technology-based services. Its services include writing and enforcing rules governing the activities of securities firms with brokers, examining firms for compliance with those rules, fostering market transparency, and educating investors. The company was founded in 2007 and is headquartered in Washington, DC. | Finance |
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