Broker-dealer firm · New York, NY
BNY Mellon Securities Corporation
SEC-registered investment adviser · CRD 231 · SEC 801-54739
At a glance
BNY Mellon Securities Corporation is an SEC-registered investment adviser based in New York, New York, with $8.4 billion in regulatory assets under management as of its Form ADV filed September 28, 2026. Its largest client group by assets is other, and it reports 3,225 individual clients. By Form ADV it is a broker-dealer firm, ranked 76th of 391 broker-dealer firms and 1,518th of 17,210 SEC-registered advisers by assets.
Main office 212-922-6273bny.comAs filed on Form ADV
- Regulatory AUM
- $8.4B
- Rank among broker-dealer firms
- #76 of 391
- Rank among all SEC RIAs
- #1,518 of 17,210
- Rank in New York
- #394 of 2,591
- Individual clients
- 3,225
- High-net-worth clients
- 228
- Accounts
- 3,732
- Discretionary
- 8% of AUM
- Employees
- 253
- Advisory staff
- 91
- Offices
- 6
Owners and executives on its Form ADV
- Hal Robert MarquitRosfp (srop/crop) & Municipal Securities Principal
- Gregory John PasqualeChief Financial Officer & Treasurer & Finop
- David John DipetrilloExecutive Vice President and Director
- Robert Brian SacconeChief Compliance Officer (brokerdealer)
- Jack Edward OsavageChief Technology Officer
- John William Jr HunterChief Compliance Officer (investment Advisory Business)
- Joseph SchultzPresident and Director
- Jason Alister LoChief Risk Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
BNY Mellon Securities Corporation is a hybrid RIA: 162 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: BNY Mellon Asset Management Canada LTD., BNY Mellon Capital Markets, LLC, BNY Mellon Fund Management (luxembourg) S.A., BNY Mellon Investment Management Emea Limited, BNY Mellon Investment Management Hong Kong Limited, BNY Mellon Servicos Financeiros Distribuidora De Titulos E Valores Mobiliarios (dtvm) SA, Pershing (channel Islands) Limited, Pershing Advisor Solutions LLC, Pershing LLC, Pershing Limited, Pershing Securities Canada Limited, Pershing Securities International Limited, Pershing Securities Limited, Pershing Securities Sinapore Private Limited, The Bank of New York Mellon Securities Company Japan Limited and The Bank of New York Mellon, SA, Institucion De Banca Multiple.
- BNY Mellon Asset Management Canada LTD.
- BNY Mellon Capital Markets, LLC ↗CRD 17454
An introducing broker-dealer: its trades clear through Pershing, which holds the brokerage accounts. Its annual audited report filed with the SEC, April 2026
- BNY Mellon Fund Management (luxembourg) S.A. ↗CRD 283267
- BNY Mellon Investment Management Emea Limited
- BNY Mellon Investment Management Hong Kong Limited ↗CRD 169689
- BNY Mellon Servicos Financeiros Distribuidora De Titulos E Valores Mobiliarios (dtvm) SA
- Pershing (channel Islands) Limited
- Pershing Advisor Solutions LLC ↗CRD 36671
An introducing broker-dealer: its trades clear through another firm, which holds the brokerage accounts. Its annual audited report filed with the SEC, February 2026
- Pershing LLC ↗CRD 7560
- Pershing Limited
- Pershing Securities Canada Limited
- Pershing Securities International Limited
- Pershing Securities Limited
- Pershing Securities Sinapore Private Limited
- The Bank of New York Mellon Securities Company Japan Limited
- The Bank of New York Mellon, SA, Institucion De Banca Multiple
Its Form ADV brochure (filed March 2026) names BNY Mellon Securities as the broker-dealer its advisers are registered with.
(i) acting as representatives of BNYSC in our capacity as investment adviser, solicit prospective clients with respect to the institutional separate account products and strategies of our affiliates, including a Portfolio Manager or Delegat
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Other | 16 | $6.9B | 81% |
| Individuals | 2,997 | $856M | 10% |
| High-net-worth individuals | 228 | $420M | 5% |
| Corporations or other businesses | 441 | $264M | 3% |
| Charitable organizations | 22 | $31M | <1% |
| Pension and profit sharing plans | 30 | $18M | <1% |
Disciplinary disclosures
BNY Mellon Securities Corporation answers yes to 25 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Other services
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗bny.com ↗
AtlasMembers
The full record on BNY Mellon Securities Corporation
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 75 peers of its type and size
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- Owners and executives, with titles and stakes
- 8 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 6Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does BNY Mellon Securities Corporation manage?
BNY Mellon Securities Corporation reports $8.4 billion in regulatory assets under management across 3,732 accounts, 8% of it on a discretionary basis, on its Form ADV filed September 28, 2026.
What kind of firm is BNY Mellon Securities Corporation?
BNY Mellon Securities Corporation is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. It reports a bank or thrift among its related persons. A public reporting company controls it.
Who are BNY Mellon Securities Corporation’s clients?
By assets, its largest client types are other ($6.9 billion, 16 clients); individuals ($856 million, 2,997 clients); high-net-worth individuals ($420 million, 228 clients).
Does BNY Mellon Securities Corporation have any disciplinary history?
BNY Mellon Securities Corporation answers yes to 25 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is BNY Mellon Securities Corporation’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-28), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →