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BNY MELLON SECURITIES CORPORATION
CRD 231File 801-54739
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Sep 28, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$8.45B
Top 10% of cohort (national)
Discretionary AUM
$703.1M
Non-discretionary $7.75B
Clients
3,718
3,732 accounts
Employees
253
Top 25% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Jul 24, 1997
- Principal office
- 240 GREENWICH STREET, 9TH FLOOR EAST, NEW YORK, NY, 10286-0001
- Phone
- 2129226273
- Website
- HTTPS://WWW.BNY.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $8.45B
- Discretionary AUM
- $703.1M
- Non-discretionary AUM
- $7.75B
- Discretionary accounts
- 1,422
- Non-discretionary accounts
- 2,310
- Total accounts
- 3,732
- AUM per client
- $2.3M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 441 | $264.5M |
| Charitable organizations | 22 | $31.1M |
| High net worth individuals | 228 | $420.2M |
| Pension and profit sharing plans | 30 | $18.1M |
| Individuals (other than high net worth individuals) | 2,997 | $856.3M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- Yes
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11C1
- Q11C2
- Q11C4
- Q11C5
- Q11D2
- Q11D4
- Q11E2
- Q11H1A
- Q11H1B
- Q11H1C
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 3,734 | 3,718 | decreased by16 |
| Apr 1, 2026 | Employees | 306 | 253 | decreased by53 |
| Apr 1, 2026 | Clients | 3,823 | 3,734 | decreased by89 |
| Apr 1, 2026 | AUM | $7,139,421,698 | $8,448,676,677 | increased by$1,309,254,979 |
| Apr 1, 2026 | Accounts | 3,823 | 3,732 | decreased by91 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 333 | 306 | decreased by27 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 3,995 | 3,823 | decreased by172 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $2,481,367,832 | $7,139,421,698 | increased by$4,658,053,866 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 3,995 | 3,823 | decreased by172 |
| Apr 1, 2022 | Employees | 350 | 333 | decreased by17 |
| Apr 1, 2022 | Clients | 3,720 | 3,995 | increased by275 |
| Apr 1, 2022 | AUM | $2,028,353,909 | $2,481,367,832 | increased by$453,013,923 |
| Apr 1, 2022 | Accounts | 3,720 | 3,995 | increased by275 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “BNY MELLON” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“BNY MELLON” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.