Lynn A. Cannizzaro
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lynn Ann Cannizzaro, who also goes by Lynn Ann Cannizzaro, Lynn Cannizzaro, Lynn Ann Cannizzaro, Lynnann Cannizzaro, was a registered financial professional .
Lynn is a previously registered financial professional and started their career in finance in 1998. Lynn had worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 57, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2014 - August 7, 2017
BNY MELLON CAPITAL MARKETS, LLC
March 18, 2011 - January 31, 2022
PERSHING LLC
June 24, 2009 - May 27, 2010
NEONET SECURITIES, INC.
September 6, 2007 - February 11, 2009
SG AMERICAS SECURITIES, LLC
July 6, 2006 - September 4, 2007
J.P. MORGAN SECURITIES INC.
May 9, 2001 - June 23, 2006
CREDIT SUISSE SECURITIES (USA) LLC
March 12, 2001 - May 14, 2001
UBS SECURITIES LLC
December 11, 2000 - March 12, 2001
UBS FINANCIAL SERVICES INC.
April 27, 1998 - November 29, 2000
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
BNY MELLON CAPITAL MARKETS, LLC
CRD#: 17454 / SEC#: , 8-35255
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY CAPITAL MARKETS HOLDINGS, INC. | SOLE SHAREHOLDER | |
| BARYSH, ROBERT PHILIP | CHIEF OPERATIONS OFFICER (COO), PRINCIPAL OPERATIONS OFFICER | 2800329 |
| DUFFANY, STEPHEN JOHN | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2535640 |
| GOODHEART, JOHN | BOARD OF MANAGERS | 2419623 |
| HIGGINS, ALISON MATTHESEN | BOARD OF MANAGERS, CHIEF COMPLIANCE OFFICER (CCO) | 6718782 |
| KLINGER, DANIEL ADAM | BOARD OF MANAGERS | 2983871 |
| LYNCH, ROBERT E | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 2981333 |
| MCCORMICK, JEFFREY | BOARD OF MANAGERS | 5261504 |
| SKOKO, DRAGAN | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 4394961 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 1 |
Red Flags
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