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Carolyn Lis

Bny Mellon Securities Corporation

San Francisco, CA

New York, NY

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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
CA RA APPROVED 2025-01-01
  • CA RA
    APPROVED
    Since 2025-01-01

Branch Locations

San Francisco, CA • United States

240 Greenwich Street, New York, NY 10286 • 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 New York NY 07/2007 Present
  • 07/2007 → Present
    Mbsc Securities Corporation
    New York, NY
Previous Registrations
  • 2006-02-02 → 2006-09-29
    Lincoln Financial Distributors, Inc.
    San Francisco, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2011-12-22
S65 Uniform Investment Adviser Law Examination 2006-01-31
  • S63 Uniform Securities Agent State Law Examination
    2011-12-22
  • S65 Uniform Investment Adviser Law Examination
    2006-01-31
Other Names
  • Carolyn Kelly
  • Carolyn Kelly

View on SEC IAPD

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