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Carey Jon Penswick

BNY Mellon Securities Corp.

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About Carey Jon Penswick

Carey Penswick is a financial professional with over 18 years of experience in the financial services industry. Carey Penswick is currently registered with BNY Mellon Securities Corp. and holds a Series 7, Series 24, Series 66 and Series 79TO licenses. Carey Penswick has held previous positions at Morgan Stanley and ING Investment Management Services LLC.

Firm Information

Carey Penswick is currently registered with BNY Mellon Securities Corp.. BNY Mellon Securities Corp. is a Corporation formed in January 1968 and headquartered in NEW YORK, NY. The firm sponsors a wrap fee program and serves as a portfolio manager or model provider to third party wrap program sponsors. They manage approximately $6,124,034,792 in client assets, primarily for individuals, corporations, and other investment advisors. The firm is registered with the SEC and in all 50 states.
BNY Mellon Securities Corp.

240 GREENWICH STREET

NEW YORK, NY 10286-0001

$6.12B

Assets Under Management

Not reported

Total Clients

326

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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bnymsc sponsors a wrap fee program, and serves as a portfolio mgr or model provider to third party wrap program sponsors.

Bnymsc sponsors a wrap fee program, and serves as a portfolio mgr or model provider to third party wrap program sponsors.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Carey Penswick’s Registration & Firm History

NY

10/04/2024 - Present

BNY Mellon Securities Corp. (New York NY)

CA

06/01/2009 - 09/25/2014

MORGAN STANLEY (SAN FRANCISCO CA)

CA

04/02/2007 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (SAN FRANCISCO CA)

CA

03/23/2006 - 04/02/2007

MORGAN STANLEY DW INC. (SAN FRANCISCO CA)

NY

08/01/2003 - 04/06/2004

ING INVESTMENT MANAGEMENT SERVICES LLC (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 08/22/2001

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/06/2014

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/31/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Carey Jon Penswick.
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