BNY ASSOCIATES INCORPORATED
Legal name: BNY CAPITAL MARKETS, LLC
CRD #18303 SEC #801-65841 NEW YORK, NY 212-635-1487
SEC Registered Broker-Dealer
Total AUM
$150M
Discretionary
$150M
Employees
51
Clients
--
Accounts
4
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Dec 21, 2005
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ALIZADEH, BEHDAD | I | MANAGING DIRECTOR/DIRECTOR | NA | Control |
| AUTORINO, GLENN PAUL | I | MANAGING DIRECTOR/DIRECTOR | NA | Control |
| BERNTSEN, TORRY | I | DIRECTOR/ GEN. PRIN. | NA | Control |
| DICHIARA, JOHN J | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| DUNPHY, KEVIN | I | SENIOR VICE PRESIDENT / DIRECTOR | NA | Control |
| GAVIN, JOHN MICHAEL JR | I | CHIEF FINANCIAL OFFICER/DIRECTOR | NA | Control |
| HALE, JOHN HINRICKS | I | MANAGING DIRECTOR/ DIRECTOR/ GEN. PRIN. | NA | Control |
| HASSELL, GERALD L | I | DIRECTOR | NA | Control |
| HERZOG, GARY STEVEN | I | DIRECTOR/ MANAGING DIRECTOR/ GEN. PRIN. | NA | Control |
| MANNELLO, JOSEPH FRANK | I | DIRECTOR/ MANAGING DIRECTOR/ GEN. PRIN. | NA | Control |
| MASON, JAMES KENNEDY | I | MANAGING DIRECTOR/ DIRECTOR | NA | Control |
| ROGAN, BRIAN GERARD | I | DIRECTOR/SEVP/GENERAL PRINCIPAL | NA | Control |
| STEWART, IAN KENT | I | PRESIDENT/GEN. PRIN. | NA | Control |
| STRUMEYER, GARY MITCHELL | I | MANAGING DIRECTOR/ GEN. PRIN. / DIRECTOR | NA | Control |
| VAN SAUN, BRUCE WINFIELD | I | FIN OP PRINCIPAL/ DIRECTOR | NA | Control |
| YOSCA, FREDERICK SEBASTIAN | I | MANAGING DIRECTOR/ GEN. PRIN./DIRECTOR | NA | Control |
| BNY CAPITAL MARKETS HOLDINGS, INC. | DE | SOLE SHAREHOLDER OF BNY CAPITAL MARKETS, INC. | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| THE BANK OF NEW YORK COMPANY, INC. | DE | BNY CAPITAL MARKETS HOLDINGS, INC. | E | Control |
Registrations
Federal
IA
Dec 21, 2005 REGISTERED
Notice Filings (51)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA PR RI SC SD TN TX UT VA VT WA WI WV
Address
ONE WALL STREET18TH FLOOR
NEW YORK, NY 10286
USA
Phone: 212-635-1487