James J. Ruddy
Professional summary
James J Ruddy is a registered financial professional currently at KEEFE, BRUYETTE & WOODS, INC. located in Morristown, New Jersey.
James is registered as a RR (Registered Representative) and started their career in finance in 1998. James has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James J Ruddy's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 8, 2004 - Present
KEEFE, BRUYETTE & WOODS, INC.
Office #1: 305 Madison Avenue, Morristown, NJ 07960November 3, 2000 - March 11, 2004
UBS SECURITIES LLC
December 7, 1998 - November 3, 2000
UBS FINANCIAL SERVICES 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
(6/4/2024)
(10/20/2017)
(8/9/2006)
(11/3/2021)
(10/21/2004)
(6/26/2019)
(8/31/2009)
(1/6/2010)
(4/26/2007)
(8/11/2021)
(10/21/2004)
(8/10/2004)
(3/8/2004)
(3/11/2005)
(3/22/2023)
(12/1/2011)
(9/1/2020)
(3/16/2005)
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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