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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

CAREY JON PENSWICK

Advisor at BNY MELLON SECURITIES CORPORATION

New York, NY | NAPLES, FL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 1, 2003 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: Aug 22, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 39
Exams: S66
First exam: Aug 22, 2001
First registration: Aug 1, 2003
Dual registered: yes, broker-dealer
Other names: CAREY J PENSWICK
IAPD individual key: 4314710

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	Sep 12, 2014	n/a	yes	New York, NY\|NAPLES, FL	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Sep 25, 2014	no	San Francisco, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	SAN FRANCISCO, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Mar 10, 2006	Apr 2, 2007	no	SAN FRANCISCO, CA	Previous registration
FURMAN SELZ CAPITAL MANAGEMENT LLC	n/a	Aug 1, 2003	Apr 6, 2004	no	SAN FRANCISCO, CA	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
MORGAN STANLEY	BNY MELLON SECURITIES CORPORATION	Sep 25, 2014	Sep 12, 2014	-13	Firm change	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
FURMAN SELZ CAPITAL MANAGEMENT LLC	MORGAN STANLEY DW INC.	Apr 6, 2004	Mar 10, 2006	703	Firm change after gap	Other

Relationships

Registered with (5)

→ BNY MELLON SECURITIES CORPORATIONRegistered adviserregistration: current employment
Sep 12, 2014 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Sep 25, 2014factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Mar 10, 2006 to Apr 2, 2007factForm ADV
→ FURMAN SELZ CAPITAL MANAGEMENT LLCRegistered adviserregistration: previous registration
Aug 1, 2003 to Apr 6, 2004factForm ADV

Dated events

No dated event names this entity yet.