Richard D. Cagney
Professional summary
Richard Demarais Cagney, who also goes by Dick Cagney, Richard Demarais Cagney Jr, is a registered financial professional currently at KEEFE, BRUYETTE & WOODS, INC. located in Chicago, Illinois.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 8 firms and has passed the Series 63, Series 65, Series 79TO, Series 99TO, SIE, Series 7, Series 6, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Demarais Cagney's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 20, 2015 - Present
KEEFE, BRUYETTE & WOODS, INC.
Office #1: One North Wacker Drive, Chicago, IL 60606October 29, 2010 - January 12, 2015
CFA FINANCIAL LLC
September 20, 2007 - September 24, 2007
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC
June 23, 1998 - August 31, 2007
COCHRAN CARONIA WALLER SECURITIES LLC
June 4, 1996 - September 25, 1997
HARRIS NESBITT CORP.
January 22, 1996 - June 4, 1996
KROLL SECURITIES LLC
January 5, 1996 - January 24, 1996
VP DISTRIBUTORS LLC
January 3, 1995 - January 5, 1996
ALPS DISTRIBUTORS, 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
(1/20/2015)
(1/20/2015)
(1/20/2015)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 8/20/2010
Introducing Broker/Dealer Financial Operations Principal ExaminationCboe 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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