BNY MELLON SECURITIES CORPORATION
Adviser information for BNY MELLON SECURITIES CORPORATION last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 303 |
|---|---|
| Investment Advisory/Research | 94 |
| Registered Broker-Dealer Representatives | 219 |
| Registered State Investment Advisers | 210 |
| Licensed Agents of an Insurance Company | 15 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,585 | $697.5M |
| Non-Discretionary | 2,268 | $5.4B |
| Total | 3,853 | $6.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 3,086 | $789.0M |
| HNW Individuals | 162 | $296.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $676,058 |
| Charitable organizations | 30 | $29.9M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 568 | $288.6M |
| Other | 5 | $4.7B |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsBNYMSC SPONSORS A WRAP FEE PROGRAM, AND SERVES AS A PORTFOLIO MGR OR MODEL PROVIDER TO THIRD PARTY WRAP PROGRAM SPONSORS. |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 985.1M |
| Portfolio Manager | 5.1B |
| Both for Same | 1.7M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ACCESS | UBS FINANCIAL SERVICES INC. |
| STRATEGIC WEALTH PORTFOLIO | UBS FINANCIAL SERVICES INC. |
| BNY MELLON MANAGED ASSET PROGRAM | BNY MELLON SECURITIES CORPORATION |
| CONSULTING AND EVALUATION SERVICES PROGRAM | MORGAN STANLEY |
| GOLDMAN MANAGER STRATEGIES SEPARATE ACCOUNT PROGRAM | GOLDMAN SACHS & CO. LLC |
| ADVISOR ALLOCATION PROGRAM | UBS FINANCIAL SERVICES INC. |
| THIRD-PARTY FUND STRATEGIST PROGRAM | ENVESTNET PMC |
| SELECT UMA | MORGAN STANLEY |
| MANAGER OUTSOURCED CONSULTING SERVICES | ENVESTNET PMC |
| PNC BANK PROGRAM | PNC BANK, NATIONAL ASSOCIATION |
| RPOA WRAP-FEE PROGRAM | RETIREMENT PLANNERS OF AMERICA |
Principal Office
240 GREENWICH STREET9TH FLOOR EAST
NEW YORK
NY
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 212-635-8827, Fax: None
Websites
Chief Compliance Officer
JOHN SQUILLACE
CHIEF COMPLIANCE OFFICER
240 GREENWICH STREET
9TH FLOOR EAST
NEW YORK
NY
United States
Tel:
212-635-8827
J*************@************M
(Full email address available in API data)
Regulatory Contact
LISA ZELLER
DEPUTY CHIEF COMPLIANCE OFFCER
240 GREENWICH STREET
9TH FLOOR EAST
NEW YORK
NY
United States
L**********@************M
(Full email address available in API data)
Industry Affiliates
| ARX INVESTIMENTOS LTDA | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| BNY MELLON ADVISORS, INC. | Other investment adviser, including financial planners |
| BNY MELLON ALOCACAO DE PATRIMONIO LTDA | Other investment adviser, including financial planners |
| BNY MELLON ASSET MANAGEMENT CANADA LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BNY MELLON BANCO S.A. | Banking or thrift institutionTrust company |
| BNY MELLON CAPITAL MARKETS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerRegistered municipal advisor |
| BNY MELLON ETF INVESTMENT ADVISER, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| BNY MELLON FUND MANAGEMENT (LUXEMBOURG) S.A. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BNY MELLON IM KOREA LIMITED | Other investment adviser, including financial planners |
| BNY MELLON IM TAIWAN SECURITIES INVESTMENT CONSULTING CO., LTD | Other investment adviser, including financial planners |
| BNY MELLON INTERNATIONAL MANAGEMENT LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BNY MELLON INVESTMENT ADVISER, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| BNY MELLON INVESTMENT MANAGEMENT (SHANGHAI) LIMITED | Other investment adviser, including financial planners |
| BNY MELLON INVESTMENT MANAGEMENT HONG KONG LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| BNY MELLON INVESTMENT MANAGEMENT JAPAN LIMITED | Other investment adviser, including financial planners |
| BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITED | Other investment adviser, including financial planners |
| BNY MELLON INVESTMENT SERVICING TRUST COMPANY | Trust company |
| BNY MELLON NATIONAL ASSOCIATION | Other investment adviser, including financial plannersBanking or thrift institutionTrust company |
| BNY MELLON SERVICOS FINANCEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) SA | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| BNY MELLON TRUST COMPANY OF ILLINOIS | Banking or thrift institutionTrust company |
| BNY MELLON TRUST OF DELAWARE | Other investment adviser, including financial plannersBanking or thrift institutionTrust company |
| CIBC MELLON GLOBAL SECURITIES SERVICES COMPANY | Banking or thrift institutionTrust company |
| CIBC MELLON TRUST COMPANY | Banking or thrift institutionTrust company |
| IM EMEA | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| INSIGHT INVESTMENT | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| INSIGHT INVESTMENT | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| INSIGHT INVESTMENT AUSTRALIA PTY LIMITED | Other investment adviser, including financial planners |
| INSIGHT INVESTMENT FUNDS MANAGEMENT LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| INSIGHT INVESTMENT MANAGEMENT (GLOBAL) LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| INSIGHT INVESTMENT MANAGEMENT EUROPE LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| MELLON HEDGE ADVISORS | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| MELLON INVESTMENTS CORPORATION | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| MFM | Sponsor, GP, manager of pooled investment vehicles |
| NEWTON INVESTMENT MANAGEMENT JAPAN LTD. | Other investment adviser, including financial planners |
| NEWTON INVESTMENT MANAGEMENT LTD | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| NEWTON INVESTMENT MANAGEMENT NORTH AMERICA | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| PERSHING (CHANNEL ISLANDS) LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING ADVISOR SOLUTIONS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING SECURITIES CANADA | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING SECURITIES INTERNATIONAL LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING SECURITIES LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING SECURITIES SINAPORE PRIVATE LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| THE BANK OF NEW YORK MELLON | Other investment adviser, including financial plannersBanking or thrift institutionTrust company |
| THE BANK OF NEW YORK MELLON (INTERNATIONAL) LIMITED | Banking or thrift institutionTrust company |
| THE BANK OF NEW YORK MELLON SA/NV | Banking or thrift institution |
| THE BANK OF NEW YORK MELLON SECURITIES COMPANY JAPAN LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. | Banking or thrift institutionTrust company |
| THE BANK OF NEW YORK MELLON, SA, INSTITUCION DE BANCA MULTIPLE | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersTrust company |
| WALTER SCOTT & PARTNERS LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BNY MELLON INVESTMENT ADVISER, INC. | Domestic Entity | – | DIRECT OWNER | 01/1968 | > 75% |
| THE BANK OF NEW YORK MELLON CORPORATION | Domestic Entity | MBC INVESTMENT CORPORATION | OWNER | 07/2007 | > 75% |
| BRADLE, KENNETH JAMES | Individual | – | PRESIDENT AND DIRECTOR | 05/2009 | < 5% |
| SQUILLACE, JOHN | Individual | – | CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISORY BUSINESS) | 01/2016 | < 5% |
| MBC INVESTMENT CORPORATION | Domestic Entity | BNY MELLON INVESTMENT ADVISER, INC. | OWNER | 02/2017 | > 75% |
| MARQUIT, HAL ROBERT | Individual | – | ROSFP (SROP/CROP) & MUNICIPAL SECURITIES PRINCIPAL | 05/2018 | < 5% |
| BNY MELLON IHC, LLC | Domestic Entity | BANK OF NEW YORK MELLON CORPORATION | OWNER | 12/2019 | > 75% |
| PASQUALE, GREGORY JOHN | Individual | – | CHIEF FINANCIAL OFFICER & TREASURER & FINOP | 01/2021 | < 5% |
| DIPETRILLO, DAVID JOHN | Individual | – | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 01/2021 | < 5% |
| PAPADOULIS, IRENE DESPINA | Individual | – | EXECTUVE VICE PRESIDENT AND DIRECTOR | 03/2023 | < 5% |
| SACCONE, ROBERT BRIAN | Individual | – | CHIEF COMPLIANCE OFFICER (BROKERDEALER) | 09/2023 | < 5% |