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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

BRIAN DOUGLAS JONES

Advisor at BNY MELLON SECURITIES CORPORATION

New York, NY | PASADENA, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 15, 1999 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: BNY MELLON SECURITIES CORPORATION
Current firm class: other adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 1, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Dec 1, 1999
First registration: Dec 15, 1999
Dual registered: yes, broker-dealer
Other names: BRIAN JONES
IAPD individual key: 3220646

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
BNY MELLON SECURITIES CORPORATION	Other adviser	Oct 12, 2010	n/a	yes	PASADENA, CA\|New York, NY	Current employment
INVESCO ADVISERS, INC.	Asset manager	Jan 1, 2010	Oct 11, 2010	no	ATLANTA, GA	Previous registration
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.	n/a	Nov 27, 2006	Jan 1, 2010	no	HOUSTON, TX	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Dec 15, 1999	Nov 6, 2002	no	NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
INVESCO ADVISERS, INC.	BNY MELLON SECURITIES CORPORATION	Oct 11, 2010	Oct 12, 2010	1	Firm change	Other
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.	INVESCO ADVISERS, INC.	Jan 1, 2010	Jan 1, 2010	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.	Nov 6, 2002	Nov 27, 2006	1,482	Firm change after gap	Other

Relationships

Registered with (4)

→ BNY MELLON SECURITIES CORPORATIONRegistered adviserregistration: current employment
Oct 12, 2010 to presentfactForm ADV
→ INVESCO ADVISERS, INC.Registered adviserregistration: previous registration
Jan 1, 2010 to Oct 11, 2010factForm ADV
→ INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Nov 27, 2006 to Jan 1, 2010factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Dec 15, 1999 to Nov 6, 2002factForm ADV

Dated events

No dated event names this entity yet.