Carolyn Lis is a registered investment advisor at Bny Mellon Securities Corporation, based in San Francisco, CA, with 35 years of industry experience. Carolyn operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 3,823 clients with $7.1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
BNY Mellon Securities Corporation (BNYSC) does not directly charge fees to individual clients. Instead, BNYSC receives a portion of the wrap fee that the client pays to the Program Sponsor. This portion typically ranges from 0.00% to 0.50% annually, depending on the Program Sponsor, the type of account, the level of support provided by BNYSC, and the size of the client’s assets in the specific investment strategy.
Location
San Francisco, CA
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Learn about disclosures →Employment History
Current Registrations
Bny Mellon Securities CorporationBroker
Bny Mellon Securities Corporation
Bny Mellon Securities Corporation
Previous Registrations
Lincoln Financial Distributors, INC.
Lincoln Financial Distributors, INC.Broker
Delaware Distributors, L.P.Broker
Usaffinity Investments, INC.Broker
Eaton Vance Distributors, INC.Broker
A. G. Edwards & Sons, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
First Interregional Equity CORP.Broker
State Registrations51 states
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