Broker Check

Solution Directory

Clearing and custody

Investor communications

  • Books and records delivery
  • Change of account information notice
  • Daily and quarterly trade confirmations
  • Forms and letter notification (with some forms available in multiple languages)
  • Statements in multiple base currencies
  • Tax documents and year-end report

Relationship strategy and consulting

Self-directed brokerage

U.S. and non-U.S. custody

  • Bank and brokerage custody (straight-through processing and integration; outsourcing capabilities)1
  • 65 markets worldwide

Institutional solutions

  • ADR conversions
  • ALERT integration
  • Automated factor updates
  • Bloomberg TOMS connectivity
  • Collateral funding
  • CTM and OASYS integration
  • Execution services
  • 15A-6 services with Pershing Securities Limited
  • Fully paid lendin
  • ID confirms
  • 144A exchanges
  • Order management system integrations
  • Outsourced clearance support for equity, fixed income, currency and options products
  • Real-time trade and settlement exception management
  • Risk management and financial operations
  • Syndicate support, including day loan processing

Investment solutions

  • Alternative investments (fee and no-transaction fee) and online center
  • Annuities and insurance, including online dashboard
  • Asset consolidation planning and support
  • Asset management account with ATM cash access, checks, contactless debit card, peer-to-peer payment compatibility, mobile wallet compatibility, online bill payment and reward program
  • Exchange-traded funds (fee and no-transaction fee) and online center
  • FDIC-insured single bank and multi-bank sweep providers
  • 529s and online center
  • Health Savings Accounts
  • Money fund sweep options
  • Mutual funds (fee and no-transaction fee) for U.S. and offshore, with researched NTF fund list
  • UCITS (Undertakings for the Collective Investment in Transferable Securities) offshore funds

Managed Account solutions

Investment advisory solutions

  • Advisor-directed programs
  • Mutual fund/exchange-traded fund wrap accounts
  • Separately managed accounts
  • Third-party strategist models
  • Unified managed accounts

Services and support

  • Advisory consulting and support
  • Client processing, portfolio accounting and trading administration
  • Outsourced research and investment services


  • Custom and turnkey managed accounts technology
  • Third-party Turnkey Asset Manager Providers (TAMP)

Collateral funding and trading

  • Collateral optimization
  • Fully paid lending
  • Securities lending
  • Short sale facilitatio

Retirement solutions

Employer-sponsored plans

  • Brokerage platform (with plan linking) for custody of
    - 401(k)
    - 403(b)(7)
    - Individual 401(k)
    - Money Purchase Pension
    - Profit Sharing
    - Savings Incentive Match Plan for Employees (SIMPLE IRA) with payroll processing
    - Simplified Employee Pension (SEP IRA)
  • Retirement plan network
    - Benchmarking and prospecting tools
    - Model management
    - Packaged solutions
    - Trust platform for custody of
    • Cash Balance and Profit Sharing
    • Defined Benefit
    • 401(k)
    • 457


  • Inherited
  • Mutual fund only
  • Rollover
  • Roth
  • Traditional

Non-bank IRA custodian or taxpayer agent

Online resources and tools, including plan comparison, rollover tool, RMD support and plan governance

1Bank custody and private banking solutions are provided by BNY Mellon, National Association (BNY Mellon, N.A.). member FDIC, a wholly owned subsidiary of The Bank of New York Mellon Corporation. Banking services and credit services, which are subject to application and credit approval, are provided by BNY Mellon, N.A. Member FDIC. Mortgage services, provided by BNY Mellon, N.A, are subject to credit approval.

Technology and Enterprise Data Management

Integration solutions

API portal

  • Account opening, funding, and maintenance
  • Account queries, including positions, balances and performance
  • Alerts and notifications
  • Document management

Connectivity standards

  • FIX
  • FTP
  • Single Sign On

Third-party tool integration

  • Aggregation and portfolio analytics
  • Business process automation
  • Customer Relationship Management
  • Digital advice
  • Onboarding and eSignature
  • Trade and order management
  • Wealth planners

Mobile platform

Self-service tools

  • Account opening and maintenance
  • Account nicknames and groupings
  • Alerts
  • Asset movement
  • eDelivery
  • Password resets
  • Security options
  • Trading, markets and research

Investor solutions

Accessibility (Americans with Disabilities Act)

  • Comprehensive wealth and performance reporting
  • Digital advice solutions
  • Earned income
  • Financial planning
  • Fixed income inventory
  • Google Analytics
  • Market news and research
    - Aggregated content
    - Delayed, real-time and streaming quotes
    - News
    - Screeners
    - Watch lists and comparison tools
  • Shareholder communications


Client meeting preparation tool
• Data aggregation (collection, governance, processing and quality management)
• Notification center

Wealth reporting and insights

  • Custodial and non-custodial accounts displayed in portfolio
  • Financial planning tool integration
  • Performance reporting
    - On demand
    - Quarterly
    - Scheduled

Fixed Income

  • Product Solutions
    - Brokered CDs
    - CDARS
    - Commercial paper
    - Corporate bonds
    - Mortgage-backed securities
    - Medium-term notes
    - Municipal bonds
    - New issue closed-end funds
    - Non-U.S. bonds
    - Preferred stock
    - Structured products
    - Unit Investment Trusts
    - U.S. agency bonds
    - U.S. Treasuries
  • Services
    - Trading desk for specialized transactions and market expertise
    - Electronic trading and analysis

Foreign exchange

  • Client facilitation trading desk, with 24/6 coverage
  • Electronic platform for spot trading
  • Hedging with FX forwards through trading desk


  • Electronic access to execute options
  • Trading desk for complex strategies and specialized transactions

Outsourced trading capabilities

Trading Services and solutions

Domestic and international equities

  • Access to ETF and UCITS liquidity
  • Automated FX conversions supporting non-U.S. dollar equity transactions
  • Cross-currency settlement for all transactions
  • Electronic single and multiple order entry, block trading and rebalancing access
  • Execution management system for buy-side and sell-side firms
  • Post-trade transaction cost analysis reports
  • Suite of algorithmic strategies, smart router and direct market access routes
  • Trading desks for specialized transactions, with 24/6 coverage for foreign equities

Investor solutions

Bank custody through BNY Mellon, N.A.1

  • Enhanced tax reporting
  • Principal and income segregation
  • Trust accounting
  • Trust and fiduciary reporting

Boutique investment management through BNY Mellon, N.A., Charitable trust administration, Corporate trustee services via a network of third-party providers, Donor-advised funds, Escrow services through BNY Mellon, N.A.1, Family philanthropy, High-net-worth insurance solutions

Lending solutions

  • Fully paid lending2
  • Margin lending
  • Private banking through BNY Mellon, N.A.1
    - Commercial real estate financing
    - Investment credit line
    - Jumbo residential mortgage
    - Letters of credit
  • Securities-based non-purpose lending (for U.S. and non-U.S. individuals)

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