CRD #231 · FINRA BrokerCheck + SEC IAPD

BNY Mellon Securities Corporation

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, BNY Mellon Securities Corporation ranks #506 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #62 of 868 on the same disclosure sort used on the state browse page. BNY Mellon Securities Corporation carries 13 BrokerCheck disclosures across 84 branch offices - light load for a mid-sized firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
84
branch offices
13
disclosures
#506 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 231 BNY Mellon Securities Corporation

BNY Mellon Securities Corporation · Grade B · 13 disc · 0.15/office · Mid-sized firm

  • CRD 231
  • GRADE B
  • DISC 13
  • REG 5
  • ARB 8
  • CIV 0
  • BRANCH 84
  • PER-OFF 0.15
  • RANK #506 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Performance Trust Capital Partners, LLC (0.16 disc/office)

Performance Trust Capit…0.16Steward Partners Invest…0.16Missionsquare Wealth Ma…0.15BNY Mellon Securiti… (this)0.15
Disclosures per office among mid-sized firm peers (lower is cleaner)

BNY Mellon Securities Corporation ranks #506 of 20,055 by disclosure count among graded broker-dealers; light load at 0.15 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - 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

84 offices

FINRA: Medium firm

Total disclosures

13 events

On FINRA BrokerCheck

Regulatory events

5 actions

38% of all disclosures

Disclosures per office

0.15 per office

13 ÷ 84 offices

BNY Mellon Securities Corporation vs. every disclosing firm

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

0 Among the cleanest for its size a cleaner per-office record than 82% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 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 5
Arbitrations 8
Civil Events 0
Total 13

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

Disclosure category share

Regulatory 5 Arbitration 8 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
New York, NY
CRD Number
231

Lower disclosures per office

BNY Mellon Securities Corporation in the heavier-disclosure third

BNY Mellon Securities Corporation carries 13 BrokerCheck disclosures across 84 branch offices - a heavier-third raw book among graded firms (#506 of 20,055). Mix is 5 regulatory, 8 arbitration, and 0 civil (38% regulator share).

BNY Mellon Securities Corporation runs 0.15 disclosures per branch office (cleaner than 82% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 1.49× state average

BNY Mellon Securities Corporation sits above the New York disclosure average

BNY Mellon Securities Corporation reports 13 BrokerCheck disclosures, 1.49× 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 Securities Corporation sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, BNY Mellon Securities Corporation ranks #506 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #62 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 B mean for BNY Mellon Securities Corporation?
A grade of B reflects BNY Mellon Securities Corporation's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 13 total disclosures across 84 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does BNY Mellon Securities Corporation have?
BNY Mellon Securities Corporation has 13 total FINRA disclosures, including 5 regulatory events, 8 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is BNY Mellon Securities Corporation?
BNY Mellon Securities Corporation operates 84 branch offices and is classified by FINRA as a medium firm, registered in NY (Mid-sized 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 Securities Corporation's disciplinary record?
You can verify BNY Mellon Securities Corporation's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 231. 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 Securities Corporation's 13 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid BNY Mellon Securities Corporation 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 Securities Corporation carries 13 disclosures across 84 branch offices (about 0.15 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 Securities Corporation, 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.