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LL

Lawrence F. Lundy

BNY MELLON CAPITAL MARKETS
New York, NY 10286
Some features on this profile are disabled
CRD#: 5166456
LL

Professional summary

Lawrence Francis Lundy, who also goes by Lawrence Lundy, is a registered financial professional currently at BNY MELLON CAPITAL MARKETS, LLC located in New York, New York.

Lawrence is registered as a RR (Registered Representative) and started their career in finance in 2016. Lawrence has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lawrence Lundy

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 Lawrence Francis Lundy'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

December 3, 2020 - Present

BNY MELLON CAPITAL MARKETS, LLC

Office #1: 240 Greenwich Street, New York, NY 10286
BD
CRD#: 17454
New York, NY
Past

September 7, 2016 - December 11, 2020

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

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
New Jersey
(6/14/2024)
RR
New York
(12/3/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 11/21/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 4/18/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/7/2016
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/22/2018
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 Event24
Arbitration1

Red Flags

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Company Information

BNY MELLON CAPITAL MARKETS, LLC

CRD#: 17454New York, NY 10286

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