FORM X-17A-5

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

FOCUS REPORT (FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT)

PART II Iii]

(Please read instructions before preparing Form)

2018-10-24 12:43PM EDT Status: Acee led

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

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

NAME OF BROKER-DEALER SEC. FILE NO.

BNY MELLON CAPITAL MARKETS LLC [ll) 8-35255 (ill .a.....=-----------F IR MID NO.

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

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

07/01/18 [Ml (No. and Street) AND ENDING (MM/DDIYY)

~N=EW:..:....:..YO=R~K.,___...,.,,.,,....,.. ____ ~ NY (City) (State)

Im 10286 09/30/18 ~ -"='-"-'.a.---------(Zip Code)

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

Michael Marzlllano ~ ~~~==-------------------- =<2""12=1-=-e1'""s-'""'3=55=3,....._ ______ {fil NAME ( S) OF SUBSIDIARIES OR AFFILIATES CONSOLIDATED IN THIS REPORT OFFICIAL USE

------------------------~ -----------~ _______________________ l]ij ----------~

-----------------------~ __________ [E] ------------------------~ ___________ @ii

L

DOES RESPONDENT CARRY ITS OWN CUSTOMER ACCOUNTS? YES ~ NO ~ 7 CHECK HERE IF RESPONDENT IS FILING AN AUDITED REPORT [}m

_J

EXECUTION:

The registranUbroker 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 dayof cJc-rokr 20 J.L

1)

2)

3)

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 ~2018-1Q.2412:43PM EDT I PART II

BROKER OR DEALER

BNY MELLON CAPITAL MARKETS, LLC

STATEMENT OF FINANCIAL CONDITION

1.Cash •••.•••.•.•.•••...••.•.•••.. $

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. Other .•.•...•.•.•.•..•••.•.•.•

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. UnseC1Jred Accounts

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

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

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

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

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

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

C. State and municipal government obligations •.•••.•••• • • ••••• •••..•

0. Corporate obligations •••.•••••••• .••

ASSETS

Allowable

983481 ~

10,000,000 ~

~ 31 ,374,651 ~

!ill] lllil

~ ~

~ 26,997,530 ~

2,541 ,285 @QQ] $

200,935 rum ~

~ ~

!Mm ~

1,071 ,093,482 ~

12,151 .999 rum 2,973,005,377 ~

289,435,583 ~ 1,050,419,277 ~

Page 1

Status: Accep.!~

N 2 I I I I I I l !1001

as of (MM/DD/YY) 09/30/18 ~ SEC FILE NO. 8-35255 ~

Consolidated c=J ·~

Unconsolidated Cu ~

Nonallowable Total

$ 983 481 ~

10,000,000 ~

31 ,374,651 !Tim

6701245 ~ 26,997,530 ~

9,242,530 !film

~ lfilQ) ~ @QI 200,935 ~

~ ~

~ 1,071,093,482 ~

OMIT PENNIES

FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT PART 11

1201a.10.24 12:43PM EDTI '.Slatw;,Acgl - '

BROKER OR DEALER as of 09/30/18

BNY MELLON CAPITAL MARKETS, LLC

STATEMENT OF FINANCIAL CONDITION

ASSETS (continued)

Allowable

E. Stocks and warrants ....•........•.• S 501581,831 141D1 9572 142D1

14221

F. Options •••••••••••.••••.••••.•••• G. Arbitrage ••••••••••.••••.••••.•••• H. Other securities .•.....••..•.....••• I. Spot Commodities •••.••••.••••.•••• J.Total Inventory - includes encumbered

securities of ••• s _______ 11201

8. Securities owned not readily marketable: A.AtCost ...... s ______ l130I

9. Other investments not readily marketable: •••••• $ ______ 11401

B. At estimated fair value •• • •••••••.• • ••

--------14241

-------143D1

--------144D1$

14501 --------10. Securities borrowed under subordination agree­ments and partners' individual and capital securities accounts, at market value: A. Exempted

securities •••• s _______ 11so1 B. Other ....... S ______ l 1601

11. Secured demand notes-market value of collateral: A. Exempted

securities •••• S 11701 B. Other .•••••• S-------11801

12. Memberships in exchanges:

A. OWned, at market value .•••••• s _______ l190I

B. Owned at cost •••••••• • ••• • •••••••• C. Conlrlbuted 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 .••••••••••••• ••••••

--------146D1

14701 --------

--------!4801

14901 --------1215471963 15D01

15101 -------15201

15301 --------15361

--------1s31j

Nonallowable

$

1191 3401610!

4,375,603,639 !85D!

1 191 340 !860!

!620! !870! -------- --------

!630! !88D! -------- --------

!64D! !89D! -------- --------

--------1650!

lesol -------- ~ --------

356 95s !e1ol 356,95S ffilm

3 120 s11 leaol 3 120 571 !920!

169D! --------_______ 11001

1s1246,n4 ~

16. TOTAL ASSETS •• • • • •• • •••••••••• • $ 5,531,342,966 ~ $ 26,616,885 !740!S _....., __ =-.............. =-== 27,794,737 ~

5,557,959,851 ~

OMIT PENNIES Paga2

FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT PARTII

BROKER OR DEALER BNY MELLON CAPITAL MARKETS, LLC

Liabilities 17. Bank loans payable:

A. lncludable In "Formula for Reserve

STATEMENT OF FINANCIAL CONDITION LIABILITIES AND OWNERSHIP EQUITY

A.I. Liabilities •

as of

Non-A.I. Liabilities •

2018-10-24 12:43PM EDT ,Status; Accep~ _

09130/18

Total

Requirements" ••••••.••••••••••.• S _______ l1030J $ _______ 1240 5 _______ 11460!

B. Other . • .. • • .. • • .. . • .. • • • • • • • . • 110401 1250 114701 18. Securities sold under repurchase agreements. 1260 2,200,415

1000 !1480!

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. Other •••••.••.•••••••••••••••

D. Clearing organizations: 1. lncludable In "Formula for Reserve

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

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

A. Securities accounts - Including free credits

_______ [iii,sp] !10601 -------

--~

------- 1100 ------- 1105 ------- 1110

of •••.•• $ 79 2921950 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

ot •• •• • • s-,-----,----,-::--:-:::-:7"""1 96o l 23. Accounts payable and accrued llabllltles

and expenses: ••••••••••••.•••••• • A. Drafts payable •••••••••••.••••••• B. Accounts payable ••••••••.••••••• C. Income taxes payable ••••.••••••• D. Deferred Income taxes •• • ••• •••• • •• E. Accrued expenses and other llabllltles •• F. Other .•.•.•..•.•.••••••••••••• G. Obligation to return securities • .••••• H. SPE Llabllitles ••••••• • ••••.•••••

--~

111601

11 1101

l11eol

lirn.~ [iliQ]

--~

_ ____ fa29Q]

_______ 11300]

--~

_______ [133Q]

--~

_______ !136ol

J131ol

~38.QJ 113861

113871

11490! -------71.863,35311500!

_______ 115101

11520! -------

11530! -------!1540!

115501 -------483,988,06411560!

1,024,728,52611570!

79 292!15801 !15sol -------!16001 -------!1610! -------

11335,421,soo !16201

!16301 -------10.092,57011640!

612575116501 11660!

----22-.-19-7-,04- 5 !1670!

!1680! -------11686!

_______ !1687!

OMIT PENNIES

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

Page3

2018-10-24 12:43PM EDT FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT Slfilus: Ac:cep~ _ ___J

PARTII

BROKER OR DEALER

BNY MELLON CAPITAL MARKETS, LLC asof 09/30/18

STATEMENT OF FINANCIAL CONDITION

LIABILITIES AND OWNERSHIP EQUITY (continued)

A.I. Liabilities Liabilities *

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

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

1. from outsiders s ______ !0970I 2. Includes equity subordlnatlon(15c3-1 (d))

of • • • • • • • • • S 100,0001000 !098~

B. Securitles borrowings, at market value: •••••• from outsiders s ______ !0990I

C. Pursuant to secured demand note collateral agreements: ..••..•••...••.•..• 1. from outsiders S ______ 110001 2. Includes equity subordlnatlon(15c3-1(d))

of • • • .. • .. • s....,...,.,.--,-...,..,.. __ ho101 D. Exchange memberships contributed for

Non-A.I.

Liabilities

~~1-91 l1211]S

*

!1390]

11400)

!1410)

_ 11420)

Total

s 116901 117001

100,000,000 111101

117201

117301

use of company, at market value . • . • • . . • . • ______ !1430! 117401 E. Accounts and other borrowings not ------

qualified for net capital purposes • • • • • • • . • • • 112201 ------~ 117501 26. TOTAL LIABILITIES ••••••••••••• • •••••• s _____ l1230iS ~ s--S- ,2-4-9,-39-7-,9-31 117601

Ownership Equity

27. Sole proprietorship 2B. Partnership - limited

••••••••••••••••••••••••••••••••••••••••••••••••••••••••• • •• • $ ----- 117701

117801 ------partners • • ••••••••••.• s ______ l1020I

11791! ------117921 ------

228,918,634 !1793i

29. Corporation: ••••••••••••••••••.•••••••••••••••••••.••••.•••••••••••••••••••.• • A. Preferred stock

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

19,643,2as 111941 308,561,920 !1795!

F. Less capital stock in treasury • ••••••••••••••••••••••••.••••.•••••••••••••••••••.• • ( ______ lh 796! 30. TOTAL OWNERSHIP EQUITY •.••.••••.....•...•..•.....••.••••.•. • ..•.•.•........ s 30a

1s51

1920 h aool

31. TOTAL LIABILITIES AND OWNERSHIP EQUITY ••.••••••••.••••••••••••••••••••••••. ; • S 5,557,959,851 !1810!

OMIT PENNIES

• Brokers or Dealers electing the alternatlve net capltal requirement method need not complete these columns.

FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT

PARTII

BROKER OR DEALER

BNY MELLON CAPITAl MARKETS, LLC asof 09/30/18

COMPUTATION OF NET CAPITAL

12018-10-24 12:43PM EDT ~~~

1. Total ownership equity (from Statement of Financial Condition - Item 1800) • ••••••• • •••••••••••• S 308,561 ,920 !34801

2. Deduct: Ownership equity not allowable for Net Capltal • • •••••••••••.• • •••••.•••••••••••••• ( _______ 1134901

3. Total ownership equity qualified for Net Capital • • • • • • • • • • • • • • • • • • • . • • • • • • • . • • • • • • • • • • • • • • 308,561 ,920 !35001 4.Add:

A. Liabllitles subordinated to claims of general creditors allowable In computation of net capital •.•.•• B. Olher (deductions) or allowable credits {List) ••••••..•••••••.•••• • •••••.• • •••••••••.••

5. Total capital and allowable subordinated llabilltles •••••. • •••••••.•••• • •••••.• • •••••••••• •• S 6. Deducllons and/or charges:

A. Total non-allowable assets from Statement of Financial Condition (Notes B and C) .•...•..•.•... S 1. Additional charges for customers' and

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

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

1.numberofltems •••.••••••• • • • • _______ 134501

C. Aged short security differences-less reserve of •• • • • •• •••• •• •• • • •• •.• s _______ l346ol

number of Items • • • • • • • • • • • • • • • • 134701

0. Secured demand note deficiency .•.•••.•...•.•.•...•••..•• E. Commodity futures contracts and spot commodities •

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

F. Other deductions and/or charges ••••••••••••••••• • ••••• • •• G. Deductions for accounts carried under

26,616,885135401

--------135501

--------135601

--------135701

135801 --------

--------135901

2,861,827136001

12 481 917136101

Rule 15c3-1(a)(6), (a)(7) and (c)(2)(x) • • • • • • • • • • • • • • • • • • . • • • • _______ !36151

H. Total deducllons and/or charges • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • ( 7. Other additions and/or allowable credits (List) •.••.•.•.••••.•.•...•.••.•.••. • .•.•...•.•.• 8. Net Capital before haircuts on securities positions • •• • • • ••••••• • ••••••••••••••••• • ••••••• S 9. Haircuts on securities: (computed, where applicable,

pursuant lo 15c3-1 (f)): A. Contractual securlUes commitments • • • • • • • • • • • • • • • • • • • . • • • • S

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

1. Bankers' acceptances, certificates of deposit

586 s54 ! 366o 1

136701 --------

and commercial paper • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • 41 101 I 3680 I 2. U.S. and Canadian government obligations • • • • • • • • . • • • • • • • 10

1234

1959136901

3 . State and municipal government obligations • • • • • • • • . • • • . • • • 7 161 539137001

4. Corporate obligations • • . • • • • • . • • • • . • • • • • • • • • • • . • • • • • • • 54,94o,844 l311ol

5. Stocks and warrants • • • . • • • • • • • • • • • • • • • • • • • • • • . • • • • • .. 8,803,560137201

6. Options . • . • . • • . . • • . . . • • • • • • . • • • • • • • • • • • • • • . • • • • • • • 4 786137301

7.Arbltrage • •••••••• • • • • • ••••••••••••••••••••.• • ••••• _______ 137321

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

D. Undue concentration • . • • • • • • • • • • • • • • • • • • • • • • • .. • • • • • • • • 1 186 451136501

E. Other (List) • • • • • • • . • • • • • • • • . • • • • • • • • • • • • • . .. • • • • • • • • 33,W ! 3736 I ( 10. Net Capital ••••.•...•.•.•..•.• •• •• • ••.••..•.••• • ••••••.••• • •••••••••••• • ••.••• $

Pages

100,000,000 135201 135251 -------

408,561,920 13530!

41,960,62!l 1136201

1,829,900 !36301

368,431,191 136401

82,993,145 )!37401

285,438,046 !37501

OMIT PENNIES

FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT PARTII

BROKER OR DEALER

BNY MELLON CAPITAL MARKETS, LLC as of 09130118

COMPUTATION OF BASIC NET CAPITAL REQUIREMENT Part A 11. Minimal net capital required (6-2/3% of line 19) • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • $ ________ [37561 12. Minimum dollar net capital requirement of reporting broker or dealer and minimum net capital requirement

of subsidiaries computed In accordance with Nole (A) ••• • •••••••• • •••••••••••••••••••••••••••• $ _______ ~ 13. Net capital requirement (greater of line 11 or 12) • •• •••• • •••••••••••••••••••••••• • •• • ••• • •• • • $ !37601 14. Excess net capital (line 10 less 13) • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • $ ________ (~mil 15.Netcapltallessgreaterof10%ofllne19or120%ofllne 12 ....................................... S ~!~]

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

A. Drafts for immediate credit ••••••••••••••••••••••••••••••••• $ B. Markel value of securllles borrowed for which no

_______ [~ QQ}

equivalent value is paid or credited ......................... . . S --138101 C. Other unrecorded amounts (Lisi) •••••••••••••••••••••• • ••••• $ __ 3820 S ________ [~83Q]

18. Deduct: Adjustment based on deposits In Special RIISIHVe Bank Accounts(15c3-1(c)(1)(vil)) • • • • • • • • • . • • • • . $ 138381 19. Total aggregate Indebtedness • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • S ~ 20. Percentage of aggregate Indebtedness to net capital (line 19 divided by line 10) •••••••••••••••••.•• • •. % ~

21. Percentage of aggregate Indebtedness to net capital after anticipated capital withdrawals

(line 19 divided by llne 10 lass item 4880 page 12) •• • •••• • • • • •• • • • •• ••• • • • • •• • • • • • • •••••.•• • •• % @~~]

Part B COMPUTATION OF ALTERNATE NET CAPITAL REQUIREMENT

22. 2% of combined aggregale debit llems as shown In Formula for Reserve Requirements pursuant to Rule 15c3-3 prepared as of the dale of net capital computation Including both brokers or dealers and consolidated subsidiaries' debits • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • • S ______ 1a..9:.;:6:::2 l3870I

23. Minimum dollar net capital requirement of reporting broker or dealer and minimum net capital requirement of subsidiaries computed In accordance with Nole(A) $ 250 000 j3B80I

24. Net capital requirement (greater ofllne 22 or 23) • • .. • • • • • .. • • • .. • • • • • .. • • .. • • • • • • • • • • • .. • .. • S 250,000 j3760I 25. Excess nelcapltal (line 10 less 24) .... . ........................ . ........... . ...... • .. • $ 285,188,046 13910!

26. Percentage of Net Capital to Aggregate Debits (line 10 divided by line 18 page 8) •••••••••••••••• • • • •• • • • % 290924 .89 j3851 I 27. Percentage of Net Capital, after anticipated capital withdrawals, lo Aggregate Debits

Item 10 less Item 4880 page 12 divided by line 17 page 8) ............... . ................ . ....... % 290924.89 !38541

28. Net capital In excess of the greater of: 5% of combined aggregate debit Items or 120% of minimum net capilal requirement • • • • . • • • • • • • • • . • • • • • • $ 285,138,046 j3920l

OTHER RATIOS PartC 29. Percentage of debt lo debt-equity total computed In accordance with Rule 15c3-1 (d) •••••••• • • • • • • • •• •• • % ______ ...;:O"".OO~l3860l 30. OpUons deductions/Net Capital ratio (1000% test) Iota! deductfons exclusive of liquidating

equity under Rule 15c3-1(a)(6), (a)(7) and (c)(2)(x) divided by Net Capital ••• • • • •••••••••••••• • •• • •••• % !38521

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

of Iha 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% of aggregate deblls If alternate method Is used. (B) Do not deduct Iha value of securities borrowed 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 lo Item 1740) and partners' securities which were Included In non-allowable assets.

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

non-allowable assets.

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