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Louis Bazata

BNY Mellon Securities Corp.

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About Louis Bazata

Louis Bazata is a financial professional with over 30 years of experience in the industry. Louis is currently registered with BNY Mellon Securities Corp. and has been with the firm for over 30 years. Louis has a wide range of experience in the financial services industry, including investment company products/variable contracts, general securities, and operations. Louis is registered to provide investment advisory services in all 50 states and the District of Columbia. Louis is also a Series 63, Series 26, Series 99TO, SIE and Series 7 licensee.

Firm Information

Louis Bazata 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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Louis Bazata’s Registration & Firm History

NY

07/05/2024 - Present

BNY Mellon Securities Corp. (UNIONDALE NY)

NY

09/29/1993 - 02/13/2023

BNY MELLON SECURITIES CORPORATION (UNIONDALE NY)

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Licenses & Designations

BC

Issued 10/07/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/18/1999

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/11/2007

Series 7 - General Securities Representative Examination

BC

Issued 09/27/1993

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Louis Bazata.
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