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Current Employers
Bny Mellon Securities Corporation

240 Greenwich Street 9Th Floor East, New York, NY 10286-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2024-10-04
CA RA APPROVED 2024-10-04
CO RA APPROVED 2024-10-04
HI RA APPROVED 2024-10-04
KY RA APPROVED 2024-10-04
MD RA APPROVED 2024-10-04
MS RA APPROVED 2024-10-04
NV RA APPROVED 2024-10-04
ND RA APPROVED 2024-10-04
OK RA APPROVED 2024-10-04
OR RA APPROVED 2024-10-04
WI RA APPROVED 2024-10-04
WV RA APPROVED 2015-01-15
AZ RA APPROVED 2015-01-13
GA RA APPROVED 2015-01-07
UT RA APPROVED 2015-01-07
VA RA APPROVED 2015-01-07
IN RA APPROVED 2015-01-06
KS RA APPROVED 2015-01-06
NC RA APPROVED 2015-01-06
WA RA APPROVED 2015-01-06
AL RA APPROVED 2015-01-05
ID RA APPROVED 2015-01-05
LA RA APPROVED 2015-01-05
NM RA APPROVED 2015-01-05
SD RA APPROVED 2015-01-05
TX RA APPROVED_RES 2015-01-05
AK RA APPROVED 2015-01-02
IL RA APPROVED 2015-01-02
MO RA APPROVED 2015-01-02
MT RA APPROVED 2015-01-02
OH RA APPROVED 2015-01-02
NH RA APPROVED 2014-09-30
DE RA APPROVED 2014-09-25
ME RA APPROVED 2014-09-23
PA RA APPROVED 2014-09-23
NJ RA APPROVED 2014-09-22
RI RA APPROVED 2014-09-22
CT RA APPROVED 2014-09-12
  • AR RA
    APPROVED
    Since 2024-10-04
  • CA RA
    APPROVED
    Since 2024-10-04
  • CO RA
    APPROVED
    Since 2024-10-04
  • HI RA
    APPROVED
    Since 2024-10-04
  • KY RA
    APPROVED
    Since 2024-10-04
  • MD RA
    APPROVED
    Since 2024-10-04
  • MS RA
    APPROVED
    Since 2024-10-04
  • NV RA
    APPROVED
    Since 2024-10-04
  • ND RA
    APPROVED
    Since 2024-10-04
  • OK RA
    APPROVED
    Since 2024-10-04
  • OR RA
    APPROVED
    Since 2024-10-04
  • WI RA
    APPROVED
    Since 2024-10-04
  • WV RA
    APPROVED
    Since 2015-01-15
  • AZ RA
    APPROVED
    Since 2015-01-13
  • GA RA
    APPROVED
    Since 2015-01-07
  • UT RA
    APPROVED
    Since 2015-01-07
  • VA RA
    APPROVED
    Since 2015-01-07
  • IN RA
    APPROVED
    Since 2015-01-06
  • KS RA
    APPROVED
    Since 2015-01-06
  • NC RA
    APPROVED
    Since 2015-01-06
  • WA RA
    APPROVED
    Since 2015-01-06
  • AL RA
    APPROVED
    Since 2015-01-05
  • ID RA
    APPROVED
    Since 2015-01-05
  • LA RA
    APPROVED
    Since 2015-01-05
  • NM RA
    APPROVED
    Since 2015-01-05
  • SD RA
    APPROVED
    Since 2015-01-05
  • TX RA
    APPROVED_RES
    Since 2015-01-05
  • AK RA
    APPROVED
    Since 2015-01-02
  • IL RA
    APPROVED
    Since 2015-01-02
  • MO RA
    APPROVED
    Since 2015-01-02
  • MT RA
    APPROVED
    Since 2015-01-02
  • OH RA
    APPROVED
    Since 2015-01-02
  • NH RA
    APPROVED
    Since 2014-09-30
  • DE RA
    APPROVED
    Since 2014-09-25
  • ME RA
    APPROVED
    Since 2014-09-23
  • PA RA
    APPROVED
    Since 2014-09-23
  • NJ RA
    APPROVED
    Since 2014-09-22
  • RI RA
    APPROVED
    Since 2014-09-22
  • CT RA
    APPROVED
    Since 2014-09-12

Branch Locations

240 Greenwich Street, New York, NY 10286 • United States

Naples, FL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Mbsc Securities Corporation Greenwich CT 09/2014 Present
  • 09/2014 → Present
    Mbsc Securities Corporation
    Greenwich, CT
Previous Registrations
  • 2009-06-01 → 2014-09-25
    San Francisco, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    San Francisco, CA
  • 2006-03-10 → 2007-04-02
    Morgan Stanley Dw Inc.
    San Francisco, CA
  • 2003-08-01 → 2004-04-06
    Furman Selz Capital Management Llc
    San Francisco, CA
Other Businesses

1. Bank Officer of BNY, discuss bank managed collective investment trusts, located at 225 Liberty Street, New york, NY, 10266. Working for 135 hours per month since July 2017, 135 hours per month devoted to business during securities trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-08-22
  • S66 Uniform Combined State Law Examination
    2001-08-22
Other Names
  • Carey J Penswick

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