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Lisa Annmarie Regis

BNY Mellon Securities Corp.

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About Lisa Annmarie Regis

Lisa Annmarie Regis is a financial professional with over 20 years of experience in the industry. Lisa is a Registered Representative and a General Securities Principal, holding Series 6, 7, 24 and 63 licenses. Lisa works for BNY Mellon Securities Corp. and specializes in providing financial advice to individual investors and businesses. Lisa is registered with the state of New York. Previously, Lisa worked for Dreyfus Service Corporation.

Firm Information

Lisa Regis 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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Lisa Regis’s Registration & Firm History

NY

03/21/2007 - Present

BNY Mellon Securities Corp. (UNIONDALE NY)

NY

10/10/2000 - 10/23/2006

DREYFUS SERVICE CORPORATION (UNIONDALE NY)

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Licenses & Designations

BC

Issued 10/18/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/19/2020

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/21/2005

Series 7 - General Securities Representative Examination

BC

Issued 10/09/2000

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Lisa Annmarie Regis.
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