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Carey Penswick

Bny Mellon Securities Corporation
21 Years of Experience
Naples, FL
Broker
View SEC Summary
View SEC Summary

Carey Penswick is a registered investment advisor at Bny Mellon Securities Corporation, based in Naples, FL, with 21 years of industry experience. Carey is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management. Their firm serves 3,734 clients with $8.4B in assets under management.

Bny Mellon Securities Corporation
Compensation
Fee-Only (% of Portfolio)
Firm Size
64 advisors
Number of Clients
3,734 clients
Average Client Portfolio
$2.3M average
Assets Under Management
$8.4B

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any0.50%

Fees vary by program sponsor and strategy, typically ranging from 0.00% to 0.50% annually, paid out of the wrap fee charged by the program sponsor.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Naples, FL

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Carey owns rental property in Macro Island, FL, since 2021. This requires minimal time.

Employment History
Current Registrations
Bny Mellon Securities Corporation
September 2014 - Present · 12 yrs 1 mo
Bny Mellon Securities CorporationBroker
September 2014 - Present · 12 yrs 1 mo
Bny Mellon Securities Corporation
September 2014 - Present · 12 yrs 1 mo
Previous Registrations
Morgan StanleyBroker
June 2009 - September 2014 · 5 yrs 3 mos
Morgan Stanley
June 2009 - September 2014 · 5 yrs 3 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley Dw INC.Broker
March 2006 - April 2007 · 1 yr 1 mo
Morgan Stanley
March 2006 - April 2007 · 1 yr 1 mo
Furman Selz Capital Management LLC
August 2003 - April 2004 · 8 mos
Ing Investment Management Services LLCBroker
August 2003 - April 2004 · 8 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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