UNITED STATES SECURITIES AND EXCHANGE COMMISSION r

2018-11. -2612:16. PM EST Stal~s; ~ccepted

FOCUS REPORT FORM

X-17A-5 (FINANCIAL ANO OPERATIONAL COMBINED UNIFORM SINGLE REPORT)

PART II Iii]

(Please read Instructions before preparing Form)

This report Is being filed pursuant to (Check Applicable Block(s)):

1) Rule 17a-5(a) DJiJ 2) Rule 17a-5(b) 3) Rule 17a-11 [Jru 4) Special request by designated examining authority S)Other ~

NAME OF BROKER-DEALER SEC. FILE NO.

BNY MELLON CAPITAL MARKETS LLC (TI] 8-35255 IE) ""-"-==----------FIRM ID NO.

ADDRESS OF PRINCIPAL PLACE OF BUSINESS (Do not use P.O. Box No.) 17454 [ifil

240 GREENWICH STREET ~ FOR PERIOD BEGINNING (MM/DDNY)

(No. and Street) 10/01/18 !l!] AND ENDING (MM/DDNY)

PN-EW""-'-YO=R=K-'-_______ llD NY !EJ 10286 ..:.;t0:::..:/3::..:1.:....:/1.::.8 _________ ~ (City) (State) (Zip Code)

NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT(Area code). Telephone No.

-------------------------ll[I -----------llil NAME ( S) OF SUBSIDIARIES OR AFFILIATES CONSOLIDATED IN THIS REPORT 0 FF IC I AL USE

=M=ich=a=el~M=a~rzl~li~an~o'---------------------~ -'2~12=)~81~5~-3=55=3---------~

----- - ----------------~ ~ _______________________ @§) Im

-----------------------~ [lil

7

L _J

DOES RESPONDENT CARRY ITS OWN CUSTOMER ACCOUNTS ? YES ~ NO ~

CHECK HERE IF RESPONDENT IS FILING AN AUDITED REPORT ~

EXECUTION: The reglstranUbroker or dealer submitting this Form and its attachments and the person(s) by whom it is executed represent hereby that all Information contained therein is true, correct and complete.

It is understood that all required items, statements, and schedules are considered integral parts of

this Form and that the submlsson of any amendment represents that all unamended items, statements and schedules remain true, correct and complete as previously submitted.

Dated the

1)

2)

3)

Principal Operations Officer or Partner

ATTENTION - Intentional misstatements or omissions of facts constitute Federal

Criminal Violations. (See 18 U.S.C. 1001 and 15 U.S.C. 78:f (a)

FINRA

FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT

PARTII 2018·11·2612:16PM EST :Slalus;_~ccep\e~

BROKER OR DEALER

BNY MELLON CAPITAL MARKETS, LLC

STATEMENT OF FINANCIAL CONDITION

1. Cash ......•.....•.........••.... s 2. Cash segregated In compliance with

federal and other regulations .... • ••.•. 3. Receivable from brokers or dealers

and clearing organizations: A. Failed to deliver:

1. lncludable in "Formula for Reserve Requirements" •....••........•..

2. Other •....••..•.••....••.••.. B. Securities borrowed:

1. lncludable In "Formula for Reserve Requirements" •.....•...........•

2. Other •.•..•.....••.......•..• C. Omnibus accounts:

1. lncludable in "Formula for Reserve Requirements" •.....•....•.......

2.0ther •....•...•..•...••.. • ..•. D. Clearing Organizations:

1.lncludable In "Formula for Reserve Requirements" .....•....•........

2. Other .•.•••• . ..•.. • .....•.•.. E. Other •....•..••.....•.......•..

4. Receivables from customers: A. Securities accounts:

1. Cash and fully secured accounts 2. Partly secured accounts •.......•..• 3. Unsecured Accounts

B. Commodity accounts ...••......••... C. Allowance for doubtful accounts •.•...• •

5. Receivables from non-customers: A. Cash and fully secured accounts .•..••• B. Partly secured and unsecured accounts .

6. Securities purchased under agreements lo resell •..•....••..... . .......•..

7. Securities and spot commodities owned, at market value:

A. Banker's acceptances, certilicales of deposit and commercial paper ....•..•

B. U.S. and Canadian government obligations .•........• • ...•..•..•.

C. Slate and municipal government obllgatlons ...•...•..•...•..•...•.

D. Corporate obligations . • ....•.• •• .•••

ASSETS

Allowable

308145 ~

10,000,000 ~

~ --------19,204,239 ~

~ -------~

~ --------~ --------

~ -----15_9_4-04_8_1_4 ~

1779307 ~ S

1 901806 rum --------~

~ ---------------~ ------~ -------~

260,391,399 ~

134 174117 ~

3,344,164,273 ~

162,258,030 ~ 665,886,379 ~

Page 1

N 2 I I I I I I I as of (MM/00/YY) 10/31/18 ~

SEC FILE NO. S.35255 ~

Consolidated Ci] ~ Unconsolidated CJ ~

Nonallowable

s

7040157 ~

~ 639106 m ~ ~

~

~

Total

308145 [I§QI

10,000,000 ~

19,204,239 lrIQI

159,404,814 ~ 8819464 ~

2,540,912 ~

~

260,391,399 ~

OMIT PENNIES

FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT

PART II

2016-11-2612:16PM EST .S\a\us;:_Accepted

BROKER OR DEALER

BNY MELLON CAPITAL MARKETS, LLC as of 10/31/18

STATEMENT OF FINANCIAL CONDITION

ASSETS (continued)

Allowable Nonallowable

E. Stocks and warrants . .. ••.•.. .. . . ... $ 45,620,09614101 895014201 ---------== 14221

F. Options .. ......... . . . •• .. •• ... . .. G. Arbitrage ..•...... •... ...... , ..... H. Other securilies I. Spot Commodities

J.Total inventory - Includes encumbered securities of ... s _______ b2ol

8. Securities owned not readily marketable: A.At Cost ...... $ ______ !1301

9. Other Investments not readily marketable: •.•••. $ ______ !140!

B. At estrmated falr value

_______ 14241

14301 --------

-------- 14401$

1450!

$

10761691filfil

4,352,311,845 lesol

1 016 1s9 lesol

--------10. Securities borrowed under subordination agree-_______ ls2ol _______ @tQJ

ments and partners' Individual and capital securities accounts, at market value: A. Exempted

securities .... s _______ l1sol

B. Other ....... s....,.... ______ l1sol 11. Secured demand notes-

market value of collateral: A. Exempted

--------14601 ~ ~ -------- --------

securities .... S _______ !170I B. Other ..... .. $ !1eol !4701 -------- ~ !8901

12. Memberships in exchanges:

A. Owned, at market value . ...... s _______ l19ol

B. Owned at cost ... . . .. .. .....•. ..... C. Contributed for use of company,

at market value ................... . . 13. Investment in and receivables from

affiliates, subsidiaries and associated partnerships .............. .

14. Property, furniture, equipment, leasehold improvements and rights under lease agreements: At cost (net of accumulated depreciation and amortization)

15. Other Assets: A. Dividends and interest receivable ...... . B. Free shipments ......... ... . . ... . . C. Loans and advances . .......... . ... . D. Miscellaneous .. . .. .. ............. . E. Collateral accepted under SFAS 140 ... .

F. SPE Assets . ... ............... .

16. TOTAL ASSETS ................... $

-------- --------

--------lssol

-------~ -------~

--------14601 907181filQJ

--------!4901 3619016~

1s.sJJ,13a lsool m !5101 irQQJ

-------1520! -------film 15301 15,370,849 lllQI

-------15361

--------15371

4,820,934,686 ~ s-=z,=====--21 ... ,a .. 3.s,..,0_1 s..:~=4=0 s

Page2

90 11 e WQ]

3,619,016 l9201

31 ,003,962~

4,846,770,703 ~

OMIT PENNIES

FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT

PART II 2018·11·2612:16PM EST S.!a!us.; ~ccepted

BROKER OR DEALER

BNY MELLON CAPITAL MARKETS, LLC

STATEMENT OF FINANCIAL CONDITION LIABILITIES AND OWNERSHIP EQUITY

as of

A.I. Non-A.I. Liabilities

17. Bank loans payable: A. lncludable in "Formula for Reserve

Requirements" . • . • • . • . . . . . • . • • . . . S B. Other .... , .. , ...• , .•..•••..•..

18. Securities sold under repurchase agreements.

19. Payable to brokers or dealers and clearing organizations:

A. Failed to receive:

1. lncludable in "Formula for Reserve

Requirements" . , •••• , .•.....•• 2. Other .•.....•. , ..•. , ••..••.•.

B, Securities loaned: 1. lncludable in "Formula for Reserve

Requirements" ...•...•......... 2. Other ..• • .•.•..•.....•.•..•••

C. Omnibus accounts: 1. lncludable In "Formula for Reserve

Requirements" .••.•..... . .•.... 2.0lher ..............•........•

D. Clearing organizations: 1. Jncludable in "Formula for Reserve

Requirements· ••••.•••.......•. 2. Other •.....•.••.•..... • .•....

E.Other ...•.......•...•..•...... 20. Payable to customers:

A. Securities accounts - Including free credits

of ••.... s 12 559 I 950 I B. Commodities accounts ..•...•......

21. Payable to non customers: .•....•.. A. Securities accounts ......• . .•. •... B. Commodities accounts .•.•....••.•.

22. Securities sold not yet purchased at market value - including arbitrage

of .. . . . • s-=-----,---....,..,,......,...,.,,...,.... I 960 I 23. Accounts payable and accrued liabilities

and expenses: • .• .• • . • . . •....... • . A. Drafts payable • ....... • ...•...•.. B. Accounts payable ..••............

C. Income taxes payable •.....•. • ... D. Deferred income taxes ••.•......... E. Accrued expenses and other liabilities ..

F. Other •.•••••.•••••••..••.....• G. Obligation to return securities

H. SPE Liabilities ... . .........•..•.

Liabilities •

---

--- ---

1030 $

1040

1050 1060·

1070 1080

1090 1095

1100 1105 1110

1120 1130

1140 1150

1160

1170

1180

11ool 1200

Liabilities •

10/31/18

Total

1240 $ !1460! 1250 -------!1470!

1260 2,400,147,333 !1480!

1270 1280

1290

1300

1310 1320

1330

1340 1350

1360

1370

1380 1386

1387

!1490! --------18,615,390!1500!

_______ 11510!

!15201 --------

!1530! -------,1540!

11550! -------!1560!

616,031,391 !15101

1,580,948115801 _______ !1590!

_______ 11600!

11610! --------

1,367,681,170 !1620!

_______ !1630!

9 44631611640] 61257511650!

!1660! --------27,921,95011670!

!1680! -------116861

_______ 11687!

OMIT PENNIES

*Brokers or Dealers electing the alternative net capital requirement method need not complete these columns.

Page3

•2018-11·26 12:16PM EST FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT -~atus: Acceptec:l

PARTII BROKER OR DEALER

BNY MELLON CAPITAL MARKETS, LLC as of 10/31/18

STATEMENT OF FINANCIAL CONDITION LIABILITIES AND OWNERSHIP EQUITY (continued)

Liabilities

24. Notes and mortgages payable: A. Unsecured •••.......••.••....•...• . .•. s B. Secured •......•..•........•..•••....

25. Liabilities subordinated to claims of general creditors: A. Cash borrowings: .........• .. ...........

1. from outsiders s ______ ~970I 2. Includes equity subordination(15c3-1(d))

or . . . . . . . . . s 1001000.000 !o9sol

B. Securities borrowings, at market value; .....• from outsiders s ______ l0990I

C. Pursuant to secured demand note collateral agreements: •........•....•.... 1. from outsiders S ______ 11000) 2. Includes equity subordinalion(15c3-1(d))

of • • . . • . . • . $ _____ 110101 D. Exchange memberships contributed for

A.I. Non-A.I. Liabilities • Liabilities

--- ·- 1210

---- 1211 S

.

,1390,

114001

Total

$ 116901

111001

100.000.000 111101

------ !17201

------ !17301

use of company, at market value . . . • • • . • . . ______ [i4301 ______ !17401

E. Accounts and other borrowings not qualified for net capital purposes . . • • . . • . . . . 11220'. ------~ h750!

26. TOTAL LIABILITIES ..........•..•.•.... $ ______ 11230:s ~ s---4-,54-2-.0-3-7.-07-3 !1760)

Ownership Equity

27. Sole proprietorship 28. Partnership • limited

••••• ••••• • •• •••• • •••••••••.••••••••••••••• • ••••••••••••••••• $ ----- !1770]

partners . . . • . •••••.•.. $ ______ 110201

29. Corporation: •.•.......•••............•........•..•.••....•.....•.•...•..•..... ------ !17801

A. Preferred stock 11791! ------!1792! ------

229.155.130 117931

................................................. ............... B. Common stock .......•.•.............. . .. . .. . •. .•. ...• • ...... . .•• .. ... ...... C. Additional paid- in capital .......• • .•......••..••............••.•. . .•.......•. • .• D. Retained Earnings .•....•• . .. ........ •• • .•.......•.••.•..........••. . •..•..... E. Total

•• • ••••••••••••••••••••••••• ♦ •••••••• ♦ ........................... .. ... ♦ •

77,578,500 !17941

306.733.630 117951 F. Less capital stock in treasury •.........•..•.•..••..••.•.••..•.......•• •.• •. • ..•... ( ______ )117961

30. TOTAL OWNERSHIP EQUITY ..•.••..•....•.••.••..........•...•..•..• .. .....•• . .. $ 306.733,630 j1eool

31. TOTAL LIABILITIES AND OWNERSHIP EQUITY •.•.......•.••...............•••..•.... $ 4.848,7701703 110101

OMIT PENNIES

• Brokers or Dealers electing the alternative net capital requirement method need not complete these columns.

Page4

FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT

PARTII

BROKER OR DEALER

BNY MELLON CAPITAL MARKETS, LLC as of 10/31/18

COMPUTATION OF NET CAPITAL

2018-11-2612:16PM EST Status;___Accepted

1. Total ownership equity (from Statement of Financial Condilion - Item 1800) ....•...... •. ..•..... S 306,733,630 !3480!

2. Deduct: Ownership equity not allowable for Net Capital .•........•. • •.••....•...•. . .•.....• ( _______ l/3490!

3. Total ownership equity qualified for Net Capital 4.Add:

306,733,630 135001

A. Llabllllles subordinated to claims of general creditors allowable In computation of net capital • • . . . . 100,000,000 !35201

B. Other (deductions) or allowable credits (List) . . . . . . . • . • . • . . . . . . . . . . • . . . . • . . • • • . . • • . . . . _______ I 3525!

5. Total capital and allowable subordlnaled liabilities .....•.......•• . .•..........•.... •. ..... S 406,733,630 13530! 6. Deductions and/or charges:

A. Total non-allowable assets from

Statement of Financial Condition (Notes B and C) . . • . • • . • • • • • • • S 27,836.015135401 1. Additional charges for customers' and

non-customers' security accounts ......•..•.•...•..... . .. 2. Additional charges for customers' and

non-customers' commodity accounts ...• . .....••...•..... B. Aged fail-to-deliver: ••.•.•...•....••• • .•....••....••.••.

1. number of items . . . . . • . . • • . . . . . ________ !34soj

C. Aged short security differences-less

reserve of ........••.•.•....•... s ________ )34601

number of items • . • • • . . . . . . • . . • . ________ 134701

D. Secured demand note deficiency ....• • .•.•...........•. . •. E. Commodity futures conlracts and spot commodities -

proprietary capital charges .• • .. , •..........• • ...•........•

F. Other deductions and/or charges

G. Deductions for accounts carried under

7 791135501 ______ _.:.i.:...:...:.

--------!3560!

--------!3S70 !

--------!35801

--------13590!

2,53o,38ol36001

12.eo6.121 l361ol

Rule 15c3-1(a)(6), (a}(7) and (c)(2)(x) ....•••...•.....•. , • • •• _______ 136151

H. Total deductions and/or charges . • . . . . . . • . . . • • • . . . . . • . . • • . . • . . . . . • . . . . • • • • . . • . . . . . ( 7. Other additions and/or allowable credits (Lisi) ...................•.. • ...•. • ... • ..........

8. Net Capital before haircuts on securities positions ..........• • .........•.•..•••.• .• ..•..• $

9. Haircuts on securities: (computed, where applfcable, pursuant to 15c3-1(f)):

A. Contractual securities commitments ..••.. , • • . . . . • . . . . • . • . • • $

B. Subordinated securities borrowings ......•...•• • ......•..•. C. Tradlng and Investment securities: ••........•.•.. .• . . . . . ••.

1. Bankers' acceptances, certificates of deposit

832 973 !3660!

!36701 --------

and commercial paper • . . . • . . . • . • . . . . • . . . . . . • . . . . . • . . . 498 243 !36801

2. U.S. and Canadian government obligations • . . • • . . . • . • . • . . • 26.427,126136901

3. State and municipal government obligations . . . . . . . • . . . • • . • . 5,561,961 l3700j

4. Corporate obligations . . . . . • . . . • . • • • . . . • . . . . . • . . • . • . . . . 78 873 91a!371oj

5. Stocks and warrants . • • . . . • . . • . . . . . . . • • • . . . • . . . . . . . . . . 10,399.057!3720!

6. Options • . • • . . . . • . . . . • . . . . . . . . . . . . . . . • • • . . . . . • . . . . . 4 492 I 3730!

7.Arbitrage ....•. • ..•.•...••..... . ...... • .......... • . ________ 13732!

8. Other securities • . . • . . . . . . . . . • . • • • . . . • • . . . . • • • • . • . • • . ________ 137341

D. Undue concentration • . . . . • • . • • • . . . . . . . • • . . . . . . . . . . . . . . . 7 57110713650!

E. Other (List) . . . • • .. . . . .. . . . • . . . . • . . . . . . . .. . • • .. .. .. . . 39 644 !37361 (

10. Net Capital ..•. . . . .•. ... •• ..• •. . ......... •• ... . ....... .. . •. ................. • . $

Pages

43,180,307 )!3620!

1,836,479 !36301

365,389,802 136401

130,208,521 113740!

235,181 ,281 13750!

OMIT PENNIES

FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT PART II

BROKER OR DEALER

BNY MELLON CAPITAL MARKETS, LLC asor 10/31/18

COMPUTATION OF BASIC NET CAPJTAL REQUIREMENT Part A 11. Minimal net capital required (6-2/3% ofline 19) • • • • • • • • . • • • • . • • • • • • • • • • . • • • • • • • • • • • • • • • • • . • • • • $ 12. Minimum dollar net capital requirement of reporting broker or dealer and minimum net capital requirement

of subsidiaries computed in accordance with Note (A) • • • • • • • . . • • • • • • • • • • • . • • . • . . • • • • • . • . . . . . • . $

13. Net capital requirement (greater of line 11 or 12} ••. • ••.•.• • . ••• •.•• , • . • • • . • • • • • • • . • • • • • • • • • • $

14. Excess net capital (line 10 less 13) ...•• , ••• , , •• • ••••.•• • • • • , .•• • •.•.... . .•• • , , ••• , ••• , • $

15. Net capitalless greater of 10% orllne 19 or 120% ofline 12 • . . . . • • • • • • • • • • . • • • . • • • • • • • • • • • • • • • • • • • $

COMPUTATION OF AGGREGATE INDEBTEDNESS 16. Total A.I. liabilities from Statement of Financial Condition 17.Add:

• • • • ••••.••• •• • •• • •• • • • •••••••••• • •. • .• $

A. Drafts for Immediate credit ••.....•• • ••••. ' ••• • ••• • • •• • ••.•• $ 3800 B. Market value of securities borrowed for which no

equivalent value Is paid or credited •••••••••••.•••.•••.....••. $ ____ 3810

C. Other unrecorded amounts (List) • • • • • • • • • • . • • • . • • • • • • • • • • • • . $ 3820 S

18. Deduct: Adjustment based on deposits In Special Reserve Bank Accounts(15c3-1(c)(1)(vll)) •......•••••••• $

19. Total aggregate Indebtedness • • • • • • • • • . • . • • • . • • • . • . • • • • • • • • . • • • • • • . • . • . . • • • • • • • • • . • • $

20. Percentage of aggregate !ndebtedness to net capital (line 19 divided by line 10) ••••••••••.•.•.• • .•• • • • % 21. Percentage of aggregate Indebtedness to net capital a!!_'!!._ anticipated capital withdrawals

(line 19 divided by line 10 less item 4880 page 12) .. • •...••••••••••••••.•••••••••••••••.....•. %

Part B COMPUTATION OF ALTERNATE NET CAPITAL REQUIREMENT

22. 2% of combined aggregate debit items as shown In Formula for Reserve Requirements pursuant to Rule 15c3·3 prepared as of the date of net capital computation Including both

brokers or dealers and consolidated subsidiaries' debits .•...••••••••••••••• • ••••••••••••••••• • $ 23. Minimum dollar net capital requirement of reporting broker or dealer and mln!mum net capital

requirement of subsidiaries computed In accordance with Note(A) $

24. Net capital requirement (greater or line 22 or 23) . • . . . . • • • • • • • . • • • • • • • • • • • • • • • • • . • . • • . • • • • • . . $

25. Excess net capital (line 10 less 24) .•••••••••.••••••...•••••.•••••••••• • • • ••.•••.•••••• $

26. Percentage of Net Capital to Aggregate Debits (line 10 divided by line 18 page 8) ..•••••••••••••••••• •. •. %

27. Percentage of Net Capital, after anticipated capital withdrawals, to Aggregate Debits

Item 10 less Item 4880 page 12 divided by line 17 page 8) •.••••..•..•••••.•••• • •.•••••••••••• • ••• %

28. Net capital in excess of the greater or:

5% of combined aggregate debit Items or 120% of minimum net capital requirement • • • • . • • • • • • • • • • • • . • • • S

OTHER RATIOS Part C

2018·11·2612:16PM EST Status;Accep!ed

3756

3758

3760

3TTO 3780

3790

3830

3838

3840

3850

3853

32.866)3870!

250 000!3880!

2501000!31sol

234.931 1281 !391 ol 14311.45!3851!

14311.45!3854!

234,881 ,281 !3920!

29. Percentage of debt to debt-equity total computed In accordance with Rule 15c3-1 (d} . .••.••.•.•• •• •• •• •• % ______ .....:::;0,.,,.0;:::0!3860! 30. Options deductions/Net Capital ratio (1000% test} total deductions exclusive or liquidating

equity under Rule 15c3-1(a)(6), (a)(7) and (c)(2)(x) divided by Net Capital • •• • ••• ••••••••••.••• • •••... % !3852!

NOTES: (A) The minimum net capital requirement should be computed by adding lhe minimum dollar net capital requirement

of the reporting broker dealer and, for each subsidiary to be consolidated, the greater of:

1. Minimum dollar net capital requirement, or

2. 6-2/3% of aggregate Indebtedness or 2% or aggregate debits If alternate method is used.

(8) Do not deduct the value or securities bolTOW8d under subordination agreements or secured demand notes

covered by subordination agreements not in satisfactory form and the market values of memberships in

exchanges contributed for use of company (contra to Item 1740) and partners' securities which were

included In non-allowable assets.

(Cl For reports filed pursuant to paragraph (d) of Rule 17a-5, respondent should provide a list of material

non-allowable assets.

10/85 Page6