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Scott Joseph Rickman

BNY Mellon Securities Corp.

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About Scott Joseph Rickman

Scott Rickman is a financial advisor with BNY Mellon Securities Corp. and has been in the industry since 2004. He has held previous roles with J.P. Morgan Securities LLC, Fidelity Brokerage Services LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and UBS Financial Services Inc. Scott is a registered representative in Connecticut, New Jersey, and New York.

Firm Information

Scott Rickman 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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Scott Rickman’s Registration & Firm History

NY

01/08/2024 - Present

BNY Mellon Securities Corp. (NEW YORK NY)

CT

09/05/2014 - 03/01/2022

J.P. MORGAN SECURITIES LLC (SOUTHPORT CT)

CT

03/14/2012 - 04/11/2014

FIDELITY BROKERAGE SERVICES LLC (GREENWICH CT)

NY

01/23/2006 - 01/08/2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NJ

09/17/2004 - 02/06/2006

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

NY

01/08/2002 - 05/14/2002

TULLETT & TOKYO LIBERTY SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 10/11/2004

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/05/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/16/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Scott Joseph Rickman.
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