0001610028-24-000007.txt : 20240716
0001610028-24-000007.hdr.sgml : 20240716
20240716135437
ACCESSION NUMBER: 0001610028-24-000007
CONFORMED SUBMISSION TYPE: MA-A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20151231
FILED AS OF DATE: 20240708
DATE AS OF CHANGE: 20240716
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: BNY Mellon Capital Markets, LLC
CENTRAL INDEX KEY: 0001610028
ORGANIZATION NAME:
IRS NUMBER: 232384977
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: MA-A
SEC ACT: 1934 Act
SEC FILE NUMBER: 867-01292
FILM NUMBER: 241119324
BUSINESS ADDRESS:
STREET 1: 240 GREENWICH STREET
STREET 2: 3RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10286
BUSINESS PHONE: 212-815-3427
MAIL ADDRESS:
STREET 1: 240 GREENWICH STREET
STREET 2: 3RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10286
MA-A
1
primary_doc.xml
MA-A
0001610028
XXXXXXXX
Rosemary Francavilla
212-815-4596
rosemary.francavilla@bnymellon.com
Rosemary.Francavilla@bnymellon.com
12-31-2015
Y
BNY Mellon Capital Markets, LLC
17454
23-2384977
866-00538-00
867-01292
008-35255
17454
Broker Dealer
008-35255
0001610028
101 BARCLAY STREET
NEW YORK
NY
10286
212-815-3427
Amend
BNY Mellon Center
One Mellon Bank Center
Pittsburgh
PA
15258
412-234-4033
Amend
100 Pine Street, 31st Street
San Francisco
CA
94111
212-815-7014
N
Michael
Gerard
McMaster
Chief Compliance Officer
Chief Compliance Officer
101 Barclay Street
3rd Floor
New York
NY
10286
212-815-4972
Michael.G.McMaster@bnymellon.com
Richard
A
Izzo
Vice President, BNY Mellon
101 Barclay Street
Compliance Department, 12th Floor
New York
NY
10286
212-815-3427
richard.izzo@bnymellon.com
Add
Pershing LLC
ONE PERSHING PLAZA
JERSEY CITY
NJ
07399
201-413-2000
BNY MELLON CAPITAL MARKETS, LLC ("BNYMCM") MAINTAINS A FULLY DISCLOSED CLEARING RELATIONSHIP WITH PERSHING LLC WHEREBY BNYMCM INTRODUCES ITS CUSTOMERS TO PERSHING AND PERSHING MAINTAINS CUSTOMER ACCOUNTS AND RELATED BOOKS AND RECORDS.
Amend
BNY MELLON CORPORATION (BROKER DEALER SERVICES DIVISION)
101 BARCLAY STREET 6-E
NEW YORK
NY
10286
212-815-4200
BNY MELLON CAPITAL MARKETS, LLC ("BNYMCM") SELF CLEARS ITS MORTGAGE-BACKED SECURITIES BUSINESS & HAS AN AGREEMENT WITH BNY MELLON CORPORATION (BROKER DEALER SERVICES DIVISION) TO ASSIST BNYMCM IN MORTGAGE-BACKED SECURITIES CLEARANCE & SETTLEMENT ACTIVITIES
Add
UBS SECURITIES LLC
1285 AVENUE OF THE AMERICAS
NEW YORK
NY
10019
412-562-6711
BNY MELLON CAPITAL MARKETS, LLC ("BNYMCM") MAINTAINS A FUTURES ACCOUNT WITH UBS WHEREBY BNYMCM WILL EXECUTE CERTAIN FUTURES, OPTIONS AND OTC DERIVATIVES TRANSACTIONS FOR FIRM ACCOUNTS THROUGH UBS AND UBS WILL MAINTAIN RELATED BOOKS AND RECORDS.
NewAdd
Ontario Securities Commission (OSC)
A6
PERSHING LLC
Y
FINRA
7560
PERSHING ADVISOR SOLUTIONS LLC
Y
FINRA
36671
MELLON HEDGE ADVISORS
Y
FINRA
133402
WALTER SCOTT & PARTNERS LIMITED
Y
SEC
801-19420
X0
PERSHING SECURITIES LIMITED
Y
Financial Services Authority (FSA)
X0
PERSHING SECURITIES INTERNATIONAL LIMITED
Y
Financial Services Authority (FSA)
X0
PERSHING LIMITED
Y
Financial Services Authority (FSA)
X0
BNY MELLON ASSET MANAGEMENT CANADA LIMITED
N
BNY MELLON INVESTMENT MANAGEMENT EMEA LIMITED
N
MBSC SECURITIES CORPORATION
Y
FINRA
231
BNY MELLON INVESTMENT MANAGEMENT HONG KONG LIMITED
N
BNY MELLON SERVICOS FINANCEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A.
N
PERSHING (CHANNEL ISLANDS) LIMITED
N
PERSHING SECURITIES SINGAPORE PRIVATE LIMITED
N
THE BANK OF NEW YORK MELLON SECURITIES COMPANY JAPAN LIMITED
Y
FINANCIAL SERVICES AGENCY OF JAPAN (JFSA)
M0
CONVERGEX EXECUTION SOLUTIONS LLC
Y
FINRA
35693
THE DREYFUS CORPORATION
Y
FINRA
105642
NEWTON CAPITAL MANAGEMENT LTD
Y
SEC
801-42114
X0
STANDISH
Y
FINRA
113972
LOCKWOOD ADVISORS INC
Y
FINRA
106108
WESTMINSTER RESEARCH ASSOCIATES LLC
Y
FINRA
14508
ALCENTRA NY, LLC
Y
FINRA
128557
G-TRADE SERVICES LLC
Y
FINRA
140314
CENTERSQUARE INVESTMENT MANAGEMENT HOLDINGS, INC.
Y
FINRA
106983
CENTERSQUARE INVESTMENT MANAGEMENT, INC.
Y
FINRA
107644
LIQUIDPOINT, LLC
Y
FINRA
47658
THE BOSTON COMPANY ASSET MANAGEMENT LLC
Y
FINRA
105616
EACM ADVISORS LLC
Y
FINRA
132057
MELLON CAPITAL MANAGEMENT CORPORATEION
Y
FINRA
105764
PARETO, PARETO INVESTMENT MANAGEMENT LIMITED
Y
SEC
801-38908
X0
BNY MELLON INVESTMENT MANAGEMENT AUSTRALIA LTC.
Y
AUSTRALIAN SECURIITES AND INVESTMENTS COMMISSION (ASIC)
C3
BNY MELLON CAPITAL MARKETS EMEA LIMITED
Y
FINANCIAL SERVICES AUTHORITY (FSA)
X0
BNY MARKETS LIMITED
Y
FINANCIAL CONDUCT AUTHORITY (FCA)
X0
CONVERGEX LIMITED
N
ARX INVESTIMENTOS LTDA
Y
SEC
801-69636
D5
THE BANK OF NEW YORK CAPITAL MARKETS LIMITED
N
PARETO NEW YORK LLC
Y
FINRA
145995
CONVERGEX PRIME SERVICES LLC
Y
FINRA
140185
PERSHING SECURITIES CANADA LIMITED
N
PERSHING SECURITIES AUSTRALIA PTY LTD
N
ALCENTRA LIMITED
Y
SEC
801-74223
X0
HEDGEMARK ADVISORS, LLC
Y
FINRA
151306
HEDGEMARK SECURITIES LLC
Y
FINRA
164503
BNY MELLON TRANSITION MANAGEMENT ADVISORS
Y
FINRA
168024
48WALL CAPITAL MANAGEMENT LLC
Y
FINRA
169156
BNY MELLON ASSET MANAGEMENT JAPAN LIMITED
Y
SEC
801-79022
M0
BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITED
Y
SEC
801-79021
U0
STANDISH (UK)
Y
SEC
801-78888
X0
AMHERST CAPITAL MANAGEMENT LLC
Y
FINRA
174130
CUTWATER ASSET MANAGEMENT
Y
FINRA
37214
BNY MELLON INVESTMENT MANAGEMENT CAYMAN LTC
Y
FINRA
170663
December
DE
12-29-1999
Y
0001610028
127
8
8
0
0
79
Municipal Entities
Non-profit organizations
Corporations or other businesses
0
0
0
Not Applicable
Hourly Charges
Fixed Fees
Contingent Fees
Other
An agreed upon spread.
Not Applicable
It is possible that the firm receives a mark-up or commission on the sales of recommended products/ securities.
Advice Insurance Of MS
Advice Investment Of Proceeds MS
Advice ME Investments
Advice ME Other Investments
Advice Guaranteed IC
Advice On Selection
Brokerage Of MEI
Other
LONG RANGE CAPITAL PLANNING, LONG RANGE TRADING STRATEGIES AND ANALYSIS.
Y
Y
Y
LONG RANGE CAPITAL PLANNING, LONG RANGE TRADING STRATEGIES AND ANALYSIS.
Y
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
Swap Dealer
Banking/Thrift institution
Trust Company
61
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Swap Dealer
Banking/Thrift institution
Trust Company
THE BANK OF NEW YORK MELLON CORPORATION
THE BANK OF NEW YORK MELLON CORPORATION
Y
N
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
KLINGER, DANIEL ADAM
KLINGER, DANIEL ADAM
Y
Y
N
Delete
Investment Adviser
BNY MELLON INVESTMENT ADVISER, INC.
THE DREYFUS CORPORATION
N
Y
N
Delete
Investment Adviser
NEWTON INVESTMENT MANAGEMENT (NORTH AMERICA) LTD
NEWTON INVESTMENT MANAGEMENT (NORTH AMERICA) LTD
N
Y
Y
Financial Services Authority (FSA)
X0
Delete
Investment Adviser
BNY MELLON ADVISORS, INC.
BNY MELLON ADVISORS, INC.
N
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
PERSHING LLC
PERSHING LLC
N
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
PERSHING ADVISOR SOLUTIONS LLC
PERSHING ADVISOR SOLUTIONS LLC
N
Y
N
Delete
Investment Adviser
MELLON INVESTMENTS CORPORATION
MELLON
N
Y
N
Add
Investment Adviser
MELLON HEDGE ADVISORS
MELLON HEDGE ADVISORS
N
Y
N
Delete
Investment Adviser
INSIGHT INVESTMENT INTERNATIONAL LIMITED (#107095)
INSIGHT INVESTMENT (#107095)
N
Y
Y
Financial Services Authority (FSA)
X0
Add
Investment Adviser
WALTER SCOTT & PARTNERS LIMITED
WALTER SCOTT & PARTNERS LIMITED
N
Y
Y
SEC
112161
X0
Delete
Broker-dealer municipal securities dealer or government securities broker or dealer
BNY MELLON INVESTMENTS LIMITED
BNY MELLON INVESTMENTS LIMITED
N
Y
Y
UNKNOWN
X0
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
PERSHING SECURITIES LIMITED
PERSHING SECURITIES LIMITED
N
Y
Y
Financial Services Authority (FSA)
X0
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
PERSHING SECURITIES INTERNATIONAL LIMITED
PERSHING SECURITIES INTERNATIONAL LIMITED
N
Y
Y
Financial Services Authority (FSA)
L2
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
PERSHING LIMITED
PERSHING LIMITED
N
Y
Y
Financial Services Authority (FSA)
X0
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
BNY MELLON ASSET MANAGEMENT CANADA LIMITED
BNY MELLON ASSET MANAGEMENT CANADA LIMITED
N
Y
Y
Ontario Securities Commission (OSC)
Z4
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
BNY MELLON INVESTMENT MANAGEMENT EMEA LIMITED
BNY MELLON INVESTMENT MANAGEMENT EMEA LIMITED
N
Y
Y
Financial Services Authority (FSA)
X0
Amend
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
MBSC SECURITIES CORPORATION
MBSC SECURITIES CORPORATION
N
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
BNY MELLON INVESTMENT MANAGEMENT HONG KONG LIMITED
BNY MELLON INVESTMENT MANAGEMENT HONG KONG LIMITED
N
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
BNY MELLON SERVICOS FINANCEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A.
BNY MELLON SERVICOS FINANCEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A.
N
Y
Y
Brazilian Securities and Exchange Commission (Comissao de Valores Mobiliarios??CVM)
D5
Delete
Investment Adviser
INSIGHT NORTH AMERICA LLC (#145995)
INSIGHT INVESTMENT
N
Y
N
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
PERSHING (CHANNEL ISLANDS) LIMITED
PERSHING (CHANNEL ISLANDS) LIMITED
N
Y
Y
Jersey Financial Services License (AFSL)
Y9
Add
Broker-dealer municipal securities dealer or government securities broker or dealer
PERSHING SECURITIES SINGAPORE PRIVATE LIMITED
PERSHING SECURITIES SINGAPORE PRIVATE LIMITED
N
Y
Y
SINGAPORE ACCOUNTING AND CORPORATE REGULATORY AUTHORITY
U0
Delete
Broker-dealer municipal securities dealer or government securities broker or dealer
BNY MELLON INVESTMENT MANAGEMENT JAPAN LIMITED
BNY MELLON INVESTMENT MANAGEMENT JAPAN LIMITED
N
Y
Y
Kanto Local Financial Bureau
M0
Delete
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
BNY MELLON INVESTMENTS SWITZERLAND GMBH
BNY MELLON INVESTMENTS SWITZERLAND GMBH
N
Y
N
Delete
Broker-dealer municipal securities dealer or government securities broker or dealer
LYNCH, ROBERT E
LYNCH, ROBERT E
Y
Y
N
Delete
Investment Adviser
BNY Mellon ETF Investment Adviser, LLC
BNY Mellon ETF Investment Adviser, LLC
N
Y
N
Delete
Investment Adviser
Newton Investment Management North America LLC
Newton Investment Management North America
N
Y
N
Delete
Broker-dealer municipal securities dealer or government securities broker or dealer
BNY MELLON FUND MANAGEMENT (LUXEMBOURG) S.A
BNY MELLON FUND MANAGEMENT (LUXEMBOURG) S.A
N
Y
Y
LUXEMBOURG COMMISSION DE SURVEILLANCE DU SECTEUR FINANCIER ("CSSF")
N4
Delete
Broker-dealer municipal securities dealer or government securities broker or dealer
DRAGAN SKOKO
DRAGAN SKOKO
Y
Y
N
Delete
Broker-dealer municipal securities dealer or government securities broker or dealer
ROBERT BARYSH
ROBERT BARYSH
Y
Y
N
Delete
Broker-dealer municipal securities dealer or government securities broker or dealer
FREDERIC CHARLES GOODWIN
FREDERIC CHARLES GOODWIN
Y
Y
N
Delete
Broker-dealer municipal securities dealer or government securities broker or dealer
Duffany, Stephen J
Duffany, Stephen J
Y
Y
N
Delete
Broker-dealer municipal securities dealer or government securities broker or dealer
Michelle Marie Logue
240 Greenwich Street, New York, NY 10286
Y
Y
N
Delete
Investment Adviser
BNY Mellon IM Korea Limited
BNY Mellon IM Korea Limited
N
Y
Y
Financial Services Commission
M4
Delete
Investment Adviser
BNY Mellon AM Latin America S.A.
BNY Mellon AM Latin America S.A.
N
Y
Y
Financial Market Commission
F3
Delete
Investment Adviser
BNY Mellon Investment Management Singapore PTE. Limited
BNY Mellon Investment Management Singapore PTE. Limited
N
Y
Y
Monetary Authority of Singapore
U0
Amend
Investment Adviser
The Bank of New York Mellon Securities Company Japan
The Bank of New York Mellon Securities Company Japan
N
Y
Y
Financial Services Agency
M0
NewAdd
Broker-dealer municipal securities dealer or government securities broker or dealer
GEARHART, JEFFREY S
GEARHART, JEFFREY S
Y
N
N
NewAdd
Broker-dealer municipal securities dealer or government securities broker or dealer
DEMENOCAL, DANIEL CROSBY JR
DEMENOCAL, DANIEL CROSBY JR
Y
N
N
NewAdd
Broker-dealer municipal securities dealer or government securities broker or dealer
GAVIN JR, JOHN MICHAEL
GAVIN JR, JOHN MICHAEL
Y
N
N
NewAdd
Broker-dealer municipal securities dealer or government securities broker or dealer
STRUMEYER, GARY MITCHELL
STRUMEYER, GARY MITCHELL
Y
N
N
NewAdd
Broker-dealer municipal securities dealer or government securities broker or dealer
GARDINER, CELESTE DELANEY
GARDINER, CELESTE DELANEY
Y
N
N
NewAdd
Investment Adviser
THE DREYFUS CORPORATION
THE DREYFUS CORPORATION
N
Y
N
NewAdd
Investment Adviser
NEWTON CAPITAL MANAGEMENT LTD
NEWTON CAPITAL MANAGEMENT LTD
N
Y
Y
Financial Services Authority (FSA)
X0
NewAdd
Investment Adviser
STANDISH
STANDISH
Y
N
N
NewAdd
Investment Adviser
LOCKWOOD ADVISORS INC
LOCKWOOD ADVISORS INC
Y
Y
N
NewAdd
Broker-dealer municipal securities dealer or government securities broker or dealer
WESTMINSTER RESEARCH ASSOCIATES LLC
WESTMINSTER RESEARCH ASSOCIATED LLC
N
Y
N
NewAdd
Broker-dealer municipal securities dealer or government securities broker or dealer
CONVERGEX EXECUTION SOLUTIONS LLC
CONVERGEX EXECUTION SOLUTIONS LLC
N
Y
N
NewAdd
Investment Adviser
ALCENTRA NY, LLC
ALCENTRA NY, LLC
N
Y
N
NewAdd
Broker-dealer municipal securities dealer or government securities broker or dealer
G-TRADE SERVICES LLC
G-TRADE SERVICES LLC
N
Y
N
NewAdd
Investment Adviser
CENTERSQUARE INVESTMENT MANAGEMENT HOLDINGS, INC.
CENTERSQUARE INVESTMENT MANAGEMENT HOLDINGS, INC.
N
Y
N
NewAdd
Investment Adviser
CENTERSQUARE INVESTMENT MANAGEMENT, INC.
CENTERSQUARE INVESTMENT MANAGEMENT, INC.
N
Y
N
NewAdd
Broker-dealer municipal securities dealer or government securities broker or dealer
LIQUIDPOINT, LLC
LIQUIDPOINT, LLC
N
Y
N
NewAdd
Investment Adviser
THE BOSTON COMPANY ASSET MANAGEMENT LLC
THE BOSTON COMPANY ASSET MANAGEMENT LLC
N
Y
N
NewAdd
Investment Adviser
EACM ADVISORS LLC
EACM ADVISORS LLC
N
Y
N
NewAdd
Investment Adviser
MELLON CAPITAL MANAGEMENT CORPORATION
MELLON CAPITAL MANAGEMENT CORPORATION
N
Y
N
NewAdd
Investment Adviser
PARETO, PARETO INVESTMENT MANAGEMENT LIMITED
PARETO, PARETO INVESTMENT MANAGEMENT LIMITED
N
Y
Y
Financial Services Authority (FSA)
X0
NewAdd
Investment Adviser
BNY MELLON INVESTMENT MANAGEMENT AUSTRALIA LTD.
BNY MELLON INVESTMENT MANAGEMENT AUSTRALIA LTD.
N
Y
Y
Australian Securities and Investments Commission (ASIC)
C3
NewAdd
Investment Adviser
BNY MELLON CAPITAL MARKETS EMEA LIMITED
BNY MELLON CAPITAL MARKETS EMEA LIMITED
N
Y
Y
Financial Services Authority (FSA)
X0
NewAdd
Broker-dealer municipal securities dealer or government securities broker or dealer
BNY MARKETS LIMITED
BNY MARKETS LIMITED
N
Y
Y
UNKNOWN
X0
NewAdd
Broker-dealer municipal securities dealer or government securities broker or dealer
CONVERGEX LIMITED
CONVERGEX LIMITED
N
Y
Y
UNKNOWN
X0
NewAdd
Investment Adviser
ARX INVESTIMENTOS LTDA
ARX INVESTIMENTOS LTDA
N
Y
Y
SEC
148403
D5
NewAdd
Broker-dealer municipal securities dealer or government securities broker or dealer
THE BANK OF NEW YORK CAPITAL MARKETS LIMITED
THE BANK OF NEW YORK CAPITAL MARKETS LIMITED
N
Y
Y
UNKNOWN
X0
NewAdd
Investment Adviser
PARETO NEW YORK LLC
PARETO NEW YORK LLC
N
Y
N
NewAdd
Broker-dealer municipal securities dealer or government securities broker or dealer
CONVERGEX PRIME SERVICES LLC
CONVERGEX PRIME SERVICES LLC
N
Y
N
NewAdd
Broker-dealer municipal securities dealer or government securities broker or dealer
PERSHING SECURITIES CANADA LIMITED
PERSHING SECURITIES CANADA LIMITED
N
Y
Y
Ontario Securities Commission (OSC)
Z4
NewAdd
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
PERSHING SECURITIES AUSTRALIA PTY LTD
PERSHING SECURITIES AUSTRALIA LTD
N
Y
Y
Australian Financial services License (AFSL)
C3
NewAdd
Investment Adviser
ALCENTRA LIMITED
ALCENTRA LIMITED
N
Y
Y
SEC
X0
NewAdd
Investment Adviser
HEDGEMARK ADVISORS, LLC
HEDGEMARK ADVISORS, LLC
N
Y
N
NewAdd
Broker-dealer municipal securities dealer or government securities broker or dealer
HEDGEMARK SECURITIES LLC
HEDGEMARK SECURITIES LLC
N
Y
N
NewAdd
Investment Adviser
BNY MELLON TRANSITION MANAGEMENT ADVISORS
BNY MELLON TRANSITION MANAGEMENT ADVISORS
N
Y
N
NewAdd
Investment Adviser
48WALL CAPITAL MANAGEMENT LLC
48WALL CAPITAL MANAGEMENT LLC
N
Y
N
NewAdd
Investment Adviser
BNY MELLON ASSET MANAGEMENT JAPAN LIMITED
BNY MELLON ASSET MANAGEMENT JAPAN LIMITED
N
Y
Y
SEC
169829
M0
NewAdd
Investment Adviser
BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITED
BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITED
N
Y
Y
SEC
169691
U0
NewAdd
Investment Adviser
STANDISH (UK)
STANDISH (UK)
N
Y
Y
SEC
801-78888
X0
NewAdd
Investment Adviser
AMHERST CAPITAL MANAGEMENT LLC
AMHERST CAPITAL MANAGEMENT LLC
N
Y
N
NewAdd
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
CUTWATER ASSET MANAGEMENT
CUTWATER ASSET MANAGEMENT
N
Y
N
NewAdd
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
BNY MELLON INVESTMENT MANAGEMENT CAYMAN LTD
BNY MELLON INVESTMENT MANAGEMENT CAYMAN LTD
N
Y
Y
SEC
801-79316
E9
NewAdd
Broker-dealer municipal securities dealer or government securities broker or dealer
DONOVAN, TIMOTHY JAMES
DONOVAN, TIMOTHY JAMES
Y
N
N
NewAdd
Broker-dealer municipal securities dealer or government securities broker or dealer
JACOBS, CHRISTOPHER
JACOBS, CHRISTOPHER
Y
N
N
NewAdd
Broker-dealer municipal securities dealer or government securities broker or dealer
PENN, J. DEREK
PENN, J. DEREK
Y
N
N
Y
Y
N
Y
Y
N
N
N
N
N
Y
Y
Y
N
This filing is being made to satisfy an existing delinquency for the fiscal year end 2015 Form MA-A. This filing contains the same information as the October 2015 form MA/A filing. The only difference is that this filing contains regulatory action disclosure items that occurred after 12/31/2015 and which cannot be removed.
Y
Y
Y
Y
Y
Y
N
Y
Y
N
Y
N
Y
Y
Y
Y
N
Y
N
Y
Y
Y
Y
Y
N
Y
BNY CAPITAL MARKETS HOLDINGS, INC.
N
13-3878172
SOLE SHAREHOLDER
04-01-2008
E
Y
DANIEL
ADAM
KLINGER
BOARD OF MANAGERS
03-01-2008
NA
Y
2983871
ROBERT
E
LYNCH
BOARD OF MANAGERS / CO-CEO
06-22-2018
NA
Y
2981333
FREDERIC
CHARLES
GOODWIN IV
BOARD OF MANAGERS
08-01-2021
NA
Y
2339823
ROBERT
PHILIP
BARYSH
COO
07-18-2022
NA
Y
2800329
DRAGAN
NMI
SKOKO
BOARD OF MANAGERS, CO-CEO
03-01-2023
NA
Y
4394961
Stephen
John
Duffany
Chief Financial Officer (CFO)
11-07-2023
NA
Y
2535640
Michelle
Marie
Logue
Board of Managers, CCO
01-02-2024
NA
Y
2169361
BNY CAPITAL MARKETS HOLDINGS, INC.
THE BANK OF NEW YORK MELLON CORPORATION
Y
13-2614959
SOLE SHAREHOLDER OF APPLICANTS PARENT, BNY CAPITAL MARKETS HOLDINGS, INC.
09-01-1996
E
Y
BNY CAPITAL MARKETS HOLDINGS, INC.
N
13-3878172
SOLE SHAREHOLDER
04-01-2008
E
Y
DANIEL
ADAM
KLINGER
BOARD OF MANAGERS
03-01-2008
NA
Y
2983871
Delete
ROBERT
E
LYNCH
BOARD OF MANAGERS / CO-CEO
06-22-2018
NA
Y
2981333
Delete
FREDERIC
CHARLES
GOODWIN IV
BOARD OF MANAGERS
08-01-2021
NA
Y
2339823
Delete
ROBERT
PHILIP
BARYSH
COO
07-18-2022
NA
Y
2800329
Delete
DRAGAN
NMI
SKOKO
BOARD OF MANAGERS, CO-CEO
03-01-2023
NA
Y
4394961
Delete
Stephen
John
Duffany
Chief Financial Officer (CFO)
11-07-2023
NA
Y
2535640
Delete
Michelle
Marie
Logue
Board of Managers, CCO
01-02-2024
NA
Y
2169361
NewAdd
DANIEL
CROSBY
DEMENOCAL JR
DIRECTOR, BOARD OF MANAGERS
03-01-2008
NA
Y
2740192
NewAdd
CELESTE
DELANEY
GARDINER
DIRECTOR, BOARD OF MANAGERS
09-01-2011
NA
Y
2495180
NewAdd
JOHN
MICHAEL
GAVIN JR
CHIEF FINANCIAL OFFICER/CHIEF ADMINISTRATIVE OFFICER/DIRECTOR, BOARD OF MANAGERS
04-01-2008
NA
Y
1664901
NewAdd
JEFFREY
S
GEARHART
DIRECTOR, BOARD OF MANAGERS
03-01-2008
NA
Y
2443490
NewAdd
MICHAEL
GERARD
MCMASTER
CHIEF COMPLIANCE OFFICER
06-01-2010
NA
N
1895046
NewAdd
HAROLD
JOHN
SKIRLIS
DIRECTOR, BOARD OF MANAGERS
09-01-2011
NA
Y
2974325
NewAdd
GARY
MITCHELL
STRUMEYER
PRESIDENT/GENERAL PRINICPAL/DIRECTOR, BOARD OF MANAGERS
04-01-2008
NA
Y
1157466
NewAdd
FREDERICK
SEBASTIAN
YOSCA
DIRECTOR, BOARD OF MANAGERS
03-01-2008
NA
Y
2740203
BNY CAPITAL MARKETS HOLDINGS, INC.
THE BANK OF NEW YORK MELLON CORPORATION
Y
13-2614959
SOLE SHAREHOLDER OF APPLICANTS PARENT, BNY CAPITAL MARKETS HOLDINGS, INC.
09-01-1996
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Rosemary Francavilla
Rosemary Francavilla
Senior Vice President - BNY
07-08-2024
N
N
N
N
N
Y
N
Y
N
N
Y
Y
Y
N
Y
N
N
N
Y
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N