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James David Kaul

BNY Mellon Securities Corp.

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About James David Kaul

James David Kaul is a registered representative with BNY Mellon Securities Corp. James David Kaul has been in the financial industry since November 21, 2014. James David Kaul has held previous positions at Qualis Capital, LLC, CAIS Capital LLC, Stifel, Nicolaus & Company, Incorporated, Barclays Capital Inc. and Banc of America Securities LLC. James David Kaul specializes in portfolio management for businesses and individuals.

Firm Information

James Kaul 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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James Kaul’s Registration & Firm History

NY

03/21/2024 - Present

BNY Mellon Securities Corp. (New York NY)

NY

05/04/2020 - 03/25/2022

QUALIS CAPITAL, LLC (NEW YORK NY)

NY

09/25/2017 - 12/14/2018

CAIS CAPITAL LLC (NEW YORK NY)

NY

12/04/2015 - 09/21/2017

STIFEL, NICOLAUS & COMPANY, INCORPORATED (NEW YORK NY)

NY

10/14/2011 - 12/04/2015

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

12/21/1999 - 03/29/2000

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 07/24/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/13/2011

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James David Kaul.
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