Brendan P. Roughan
Professional summary
Brendan Patrick Roughan is a registered financial professional currently at KEEFE, BRUYETTE & WOODS, INC. located in Baltimore, Maryland.
Brendan is registered as a RR (Registered Representative) and started their career in finance in 1985. Brendan has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brendan Patrick Roughan's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 19, 2023 - Present
KEEFE, BRUYETTE & WOODS, INC.
Office #1: 1201 Wills Street 600, Baltimore, MD 21231July 8, 2009 - September 18, 2025
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 13, 2006 - November 15, 2007
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 21, 2006 - April 10, 2006
CITIGROUP GLOBAL MARKETS INC.
December 24, 1996 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
June 18, 1985 - September 23, 1996
DEUTSCHE BANK SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/19/2023)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/7/1998
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
KEEFE, BRUYETTE & WOODS, INC.
CRD#: 481 / SEC#: , 8-10888
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KBW, LLC | LIMITED LIABILITTY CORPORATION | |
| ANDERSON, SCOTT RANDALL | DIRECTOR | 2154345 |
| BERRY, JOSEPH SCOTT | DIRECTOR | 2868513 |
| DAVIS, ERICKSON P | DIRECTOR | 4974063 |
| FISHER, MARK | GENERAL COUNSEL | 4970942 |
| GRANT, ROBERT J | DIRECTOR | 4861012 |
| JOHNSTONE, MARY | CHIEF COMPLIANCE OFFICER | 1170408 |
| KELLEY, MATTHEW | DIRECTOR | 5330646 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| MICHAUD, THOMAS BEAULIEU | CHIEF EXECUTIVE OFFICER, CHAIRMAN AND PRESIDENT | 1672278 |
| SMITH, RICHARD WILLIAM | PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | 1333488 |
| WIRTH, PETER JOHN | DIRECTOR | 1623159 |
Disclosures
| Regulatory Event | 17 |
| Bond | 1 |
Red Flags
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