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Details

MELLON CAPITAL MANAGEMENT NFA ID: 0182719

Current Status
• SWAP FIRM APPROVED 
• NFA MEMBER APPROVED 
• COMMODITY TRADING ADVISOR REGISTERED 
• COMMODITY POOL OPERATOR REGISTERED 
Exemptions and No Actions
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Firm Activity Status
Firm has on-exchange futures and/or options customer accountsYes
Firm is soliciting customersYes
Firm manages futures or options customer accountsYes
Firm operates commodity poolsYes
Firm is engaged in retail off-exchange foreign currency futures and/or optionsNo
Regulatory Actions
 AgencyNumber
NFA0
CFTC0
Exchanges0
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NFA Arbitration Decisions
 RoleNumber
Claimant0
Respondent0
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CFTC Reparations Cases
Total0
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Formerly Known As
• MELLON FIN SER CORP # 6 CAPITAL MGMT GRP
 
Business Address
50 FREMONT STREET
SUITE 3900
SAN FRANCISCO, CA  94105
UNITED STATES
415-546-6056
Doing Business As
No other names
Listed Principals
 Listed Principal Name Title 10% or More
Financial Interest
WILLIAM CHRISTOPHER APPLERCHIEF COMPLIANCE OFFICERNO
CHARLES PATRICK DOLANDIRECTORNO
WILLIAM LEWIS FOUSENO LISTED TITLENO
MITCHELL EVAN HARRISNO LISTED TITLENO
LINDA TUNG LILLARDCHIEF OPERATING OFFICERNO
THOMAS FREDERICK LOEBNO LISTED TITLENO
DAVID JOHN MANUELCHIEF FINANCIAL OFFICERNO
MBC INVESTMENTS CORPORATION YES
GABRIELA FRANCO PARCELLACHIEF EXECUTIVE OFFICERNO
MARK DAVID SANTERODIRECTORNO
RICHARD KIRVAN WATSON JRNO LISTED TITLENO
JEFF JIANFENG ZHANGHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
History
 Status Effective Date
• SWAP FIRM APPROVED01/01/2013 
• NFA MEMBER APPROVED01/01/2013 
• COMMODITY TRADING ADVISOR REGISTERED01/01/2013 
• COMMODITY POOL OPERATOR REGISTERED01/01/2013 
• SWAP FIRM PENDING10/19/2012 
• NFA MEMBER PENDING10/19/2012 
• COMMODITY TRADING ADVISOR PENDING10/19/2012 
• COMMODITY POOL OPERATOR PENDING10/19/2012 
• COMMODITY POOL OPERATOR WITHDRAWN06/16/2004 
• NFA MEMBER WITHDRAWN10/24/2003 
• COMMODITY TRADING ADVISOR WITHDRAWN05/30/2003 
• COMMODITY POOL OPERATOR REGISTERED11/28/2000 
• COMMODITY TRADING ADVISOR REGISTERED09/17/1987 
• COMMODITY TRADING ADVISOR FAILED TO RENEW08/31/1987 
• NFA MEMBER APPROVED08/12/1986 
• COMMODITY TRADING ADVISOR REGISTERED08/12/1986 
• NFA MEMBER PENDING08/03/1985 
• COMMODITY TRADING ADVISOR PENDING06/05/1985 
 
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