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LD

Louis Davey

BNY MELLON CAPITAL MARKETS
Boston, MA 02108
Some features on this profile are disabled
CRD#: 3210698
LD

Professional summary

Louis Davey, who also goes by Louis W Davey, is a registered financial professional currently at BNY MELLON CAPITAL MARKETS, LLC located in Boston, Massachusetts.

Louis is registered as a RR (Registered Representative) and started their career in finance in 1999. Louis has worked at 4 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Louis W Davey

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Louis Davey's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 30, 2023 - Present

BNY MELLON CAPITAL MARKETS, LLC

Office #1: 201 Washington Street, One Boston Place, Boston, MA 02108
BD
CRD#: 17454
Boston, MA
Past

May 1, 2017 - August 15, 2023

STATE STREET GLOBAL MARKETS, LLC

BD
CRD#: 285852
BOSTON, MA
Past

April 25, 2000 - May 1, 2017

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
BOSTON, MA
Past

April 16, 1999 - October 19, 1999

HARRISDIRECT LLC

BD
CRD#: 42159
JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(8/30/2023)
RR
Alaska
(8/30/2023)
RR
Arizona
(8/30/2023)
RR
Arkansas
(8/30/2023)
RR
California
(8/30/2023)
RR
Colorado
(8/30/2023)
RR
Connecticut
(8/30/2023)
RR
Delaware
(8/30/2023)
RR
District of Columbia
(8/30/2023)
RR
Florida
(8/30/2023)
RR
Georgia
(8/30/2023)
RR
Hawaii
(8/30/2023)
RR
Idaho
(8/30/2023)
RR
Illinois
(8/30/2023)
RR
Indiana
(8/30/2023)
RR
Iowa
(8/30/2023)
RR
Kansas
(8/30/2023)
RR
Kentucky
(8/30/2023)
RR
Louisiana
(8/30/2023)
RR
Maine
(8/30/2023)
RR
Maryland
(8/30/2023)
RR
Massachusetts
(8/30/2023)
RR
Michigan
(8/30/2023)
RR
Minnesota
(8/30/2023)
RR
Mississippi
(8/30/2023)
RR
Missouri
(8/30/2023)
RR
Montana
(8/30/2023)
RR
Nebraska
(8/30/2023)
RR
Nevada
(8/30/2023)
RR
New Hampshire
(8/30/2023)
RR
New Jersey
(8/30/2023)
RR
New Mexico
(8/30/2023)
RR
New York
(8/30/2023)
RR
North Carolina
(8/30/2023)
RR
North Dakota
(8/30/2023)
RR
Ohio
(8/30/2023)
RR
Oklahoma
(8/30/2023)
RR
Oregon
(8/30/2023)
RR
Pennsylvania
(8/30/2023)
RR
Puerto Rico
(8/30/2023)
RR
Rhode Island
(8/30/2023)
RR
South Carolina
(8/30/2023)
RR
South Dakota
(8/30/2023)
RR
Tennessee
(8/30/2023)
RR
Texas
(8/30/2023)
RR
Utah
(8/30/2023)
RR
Vermont
(8/30/2023)
RR
Virgin Islands
(8/30/2023)
RR
Virginia
(8/30/2023)
RR
Washington
(8/30/2023)
RR
West Virginia
(8/30/2023)
RR
Wisconsin
(8/30/2023)
RR
Wyoming
(8/30/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 6/15/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 12/5/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 8/30/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 3/31/2009
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 10/18/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/15/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/21/2005
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/26/2004
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/24/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

BM
BNY MELLON CAPITAL MARKETS, LLC
BNY CAPITAL MARKETS | MELLON INVESTMENT PRODUCTS COMPANY | MELLON FINANCIAL SERVICES CORPORATION | MELLON FINANCIAL MARKETS, LLC | MELLON FINANCIAL MARKETS, INC. | BNY MELLON CAPITAL MARKETS, LLC

CRD#: 17454 / SEC#: , 8-35255

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
240 Greenwich Street, New York, NY 10286
Mailing Address
240 Greenwich Street 3rd Floor, New York, NY 10286
Phone number
(212) 815-4972
Established
Delaware since 12/29/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BNY CAPITAL MARKETS HOLDINGS, INC.SOLE SHAREHOLDER
BARYSH, ROBERT PHILIPCHIEF OPERATIONS OFFICER (COO), PRINCIPAL OPERATIONS OFFICER2800329
DUFFANY, STEPHEN JOHNCHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO)2535640
GOODHEART, JOHNBOARD OF MANAGERS2419623
HIGGINS, ALISON MATTHESENBOARD OF MANAGERS, CHIEF COMPLIANCE OFFICER (CCO)6718782
KLINGER, DANIEL ADAMBOARD OF MANAGERS2983871
LYNCH, ROBERT EBOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO)2981333
MCCORMICK, JEFFREYBOARD OF MANAGERS5261504
SKOKO, DRAGANBOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO)4394961

Disclosures

Regulatory Event25
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

BNY MELLON CAPITAL MARKETS, LLC

CRD#: 17454Boston, MA 02108

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