James H. Crawley
Professional summary
James H Crawley is a registered financial professional currently at KEEFE, BRUYETTE & WOODS, INC. located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 2012. James has worked at 1 firm and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James H Crawley's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 5, 2012 - Present
KEEFE, BRUYETTE & WOODS, INC.
Office #1: 787 7th Avenue, New York, NY 10019State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
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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