Waldo T. Best
Professional summary
Waldo Theodore Best is a registered financial professional currently at KEEFE, BRUYETTE & WOODS, INC. located in New York, New York.
Waldo is registered as a RR (Registered Representative) and started their career in finance in 1994. Waldo has worked at 7 firms and has passed the Series 63, SIE, Series 87, Series 16 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Waldo Theodore Best's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 9, 2021 - Present
KEEFE, BRUYETTE & WOODS, INC.
Office #1: 787 7th Avenue, New York, NY 10019November 9, 2015 - July 12, 2021
BMO CAPITAL MARKETS CORP.
December 6, 2006 - November 25, 2015
HSBC SECURITIES (USA) INC.
July 3, 2006 - December 5, 2006
CREDIT SUISSE SECURITIES (USA) LLC
April 4, 1997 - April 6, 2006
MORGAN STANLEY & CO. LLC
January 9, 1997 - July 2, 1997
MORGAN STANLEY DW INC.
November 11, 1994 - November 27, 1996
BARCLAYS CAPITAL 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
(7/9/2021)
Exams
Cboe 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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