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Focus on Broker-Dealers

In the prevailing economic environment, broker-dealers face multiple challenges including sustained market volatility, slow growth, low yields, historically low interest rates and regulatory reforms. These challenges impact capital and liquidity structures, execution and processing, and investment strategies. As a result, broker-dealers need cutting-edge investment solutions and technology, dependable operational support, and robust clearing and collateral management services to navigate today's marketplace.

The BNY Mellon Solution

BNY Mellon has an in-depth understanding of the broker-dealer industry. We know the complexity of your challenges, competitive pressures and potential for growth. We have developed solutions that can help unlock that potential and achieve your goals. Many broker-dealers benefit from our approach and we are a service provider for 17 of the 21 primary dealers of U.S. government securities. Additionally, Pershing*, a BNY Mellon company, is a leading clearing firm in the U.S., UK, Ireland and Australia. That is a strong indication of just how well we know broker-dealers and of our global business reach.

Putting Our Solutions to Work

As a world-leading investments firm, BNY Mellon offers a full range of investment strategies and vehicles while delivering services that can strengthen risk management, improve transparency and enhance operational efficiency.

Investment Management**

Investment Strategies

  • Specialized Fixed Income, Cash and Currency Solutions
  • Equity and Asset Allocation Strategies
  • Alternative and Absolute Return Strategies

Investment Vehicles and Services

  • Retail and Institutional Mutual Funds
  • Collective Funds
  • Separate Accounts
  • Sub-Advisory

Investment Services

* Pershing is the umbrella name for Pershing LLC, Pershing Advisor Solutions, Pershing Prime Services, Albridge Solutions, Inc., iNautix Technologies Private Limited (India), Lockwood Advisors, Inc., Lockwood Solutions Inc., Pershing Limited (UK), Pershing Securities Limited, Pershing Securities International Limited (Ireland), Pershing Securities Canada Limited, Pershing Securities Singapore Private Limited and Pershing Securities Australia Pty. Ltd.

Pershing LLC, a wholly-owned subsidiary of BNY Mellon, is a leading global provider of financial business solutions to financial organizations and independent registered investment advisors and is committed to providing dependable operational support, robust trading services, flexible technology, an expansive array of investment solutions, practice management programs and service excellence. Pershing LLC, member FINRA, NYSE, SIPC. Pershing Advisor Solutions LLC, member of FINRA, SIPC, is a wholly-owned subsidiary of BNY Mellon. Clearing, custody or other brokerage services may be provided by Pershing LLC. Pershing Advisor Solutions relies on its affiliate Pershing LLC to provide execution services. Pershing Prime Services is a service of Pershing LLC.

** Investment products are not insured by the FDIC (or any other state or federal agency), are not deposits of or guaranteed by The Bank of New York Mellon Corporation or any bank or non-bank subsidiary thereof, and are subject to investment risk, including the loss of principal amount invested.

BNY Mellon is the corporate brand of The Bank of New York Mellon Corporation and may also be used as a generic term to reference the Corporation as a whole or its various subsidiaries. Products and services may be provided under various brand names and in various countries by the subsidiaries, affiliates and joint ventures of The Bank of New York Mellon Corporation where authorized and regulated as required within each jurisdiction.

Not all products and services are offered in all locations. This material is not intended, and should not be construed, to be an offer or solicitation of services or products or an endorsement thereof in any jurisdiction or in any circumstance that is contrary to local law or regulation. The material here is for general information and references purposes only. It is not intended to provide legal, financial, investment tax or other professional advice and should not be relied on for such. Trademark(s) belong to their respective owners.