CRD #17454 · FINRA BrokerCheck + SEC IAPD

BNY Mellon Capital Markets, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, BNY Mellon Capital Markets, LLC ranks #225 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #37 of 868 on the same disclosure sort used on the state browse page. BNY Mellon Capital Markets, LLC carries 26 BrokerCheck disclosures across 9 branch offices - elevated load for a small firm, earning a Grade D.

Verify on FINRA BrokerCheck → Browse all firms
Grade D
Safety grade
9
branch offices
26
disclosures
#225 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 17454 BNY Mellon Capital Markets, LLC

BNY Mellon Capital Markets, LLC · Grade D · 26 disc · 2.89/office · Small firm

  • CRD 17454
  • GRADE D
  • DISC 26
  • REG 25
  • ARB 1
  • CIV 0
  • BRANCH 9
  • PER-OFF 2.89
  • RANK #225 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Rothschild Investment LLC (2.83 disc/office)

Rothschild Investment LLC2.83State Street Global Adv…2.83Banyan Securities, LLC3.00BNY Mellon Capital … (this)2.89
Disclosures per office among small firm peers (lower is cleaner)

BNY Mellon Capital Markets, LLC ranks #225 of 20,055 by disclosure count among graded broker-dealers; elevated load at 2.89 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 2/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

9 offices

FINRA: Medium firm

Total disclosures

26 events

On FINRA BrokerCheck

Regulatory events

25 actions

96% of all disclosures

Disclosures per office

2.89 per office

26 ÷ 9 offices

BNY Mellon Capital Markets, LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

3 a cleaner per-office record than 6% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). Below this entry. 2–2: 72 disclosing firms (6%). Below this entry. 2–3: 14 disclosing firms (1%). Below this entry. 3–3: 24 disclosing firms (2%). Below this entry. 3–3: 6 disclosing firms (0%). This entry sits in this band. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 25
Arbitrations 1
Civil Events 0
Total 26

Counts for BNY Mellon Capital Markets, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 25 Arbitration 1 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
New York, NY
CRD Number
17454

Regulator-heavy mix

BNY Mellon Capital Markets, LLC in the heavier-disclosure third

BNY Mellon Capital Markets, LLC carries 26 BrokerCheck disclosures across 9 branch offices - a heavier-third raw book among graded firms (#225 of 20,055). Regulator-initiated events are 96% of the book (25 regulatory / 1 arbitration / 0 civil).

96% of BNY Mellon Capital Markets, LLC's 26 disclosures are regulator-initiated (25 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of BNY Mellon Capital Markets, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 2.97× state average

BNY Mellon Capital Markets, LLC sits above the New York disclosure average

BNY Mellon Capital Markets, LLC reports 26 BrokerCheck disclosures, 2.97× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does BNY Mellon Capital Markets, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, BNY Mellon Capital Markets, LLC ranks #225 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #37 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of D mean for BNY Mellon Capital Markets, LLC?
A grade of D reflects BNY Mellon Capital Markets, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 26 total disclosures across 9 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does BNY Mellon Capital Markets, LLC have?
BNY Mellon Capital Markets, LLC has 26 total FINRA disclosures, including 25 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is BNY Mellon Capital Markets, LLC?
BNY Mellon Capital Markets, LLC operates 9 branch offices and is classified by FINRA as a medium firm, registered in NY (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify BNY Mellon Capital Markets, LLC's disciplinary record?
You can verify BNY Mellon Capital Markets, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 17454. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). BNY Mellon Capital Markets, LLC's 26 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid BNY Mellon Capital Markets, LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. BNY Mellon Capital Markets, LLC carries 26 disclosures across 9 branch offices (about 2.89 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for BNY Mellon Capital Markets, LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.