Christopher Allen
Professional summary
Christopher Allen, who also goes by Christopher John Allen, is a registered financial professional currently at KEEFE, BRUYETTE & WOODS, INC. located in New York, New York.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 2000. Christopher has worked at 12 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher Allen's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 9, 2026 - Present
KEEFE, BRUYETTE & WOODS, INC.
Office #1: 787 7th Ave. 4th & 5th Floors, New York, NY 10019September 14, 2022 - February 20, 2026
CITIGROUP GLOBAL MARKETS INC.
May 17, 2018 - July 18, 2022
COMPASS POINT RESEARCH & TRADING, LLC
June 19, 2017 - May 11, 2018
ROSENBLATT SECURITIES INC.
June 15, 2016 - June 20, 2017
THE BUCKINGHAM RESEARCH GROUP INCORPORATED
December 22, 2015 - March 29, 2016
EVERCORE GROUP L.L.C.
October 31, 2014 - December 31, 2015
INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
January 5, 2011 - November 18, 2014
EVERCORE GROUP L.L.C.
January 26, 2010 - January 3, 2011
TICONDEROGA SECURITIES LLC
March 4, 2009 - January 28, 2010
PALI CAPITAL, INC.
April 29, 2004 - March 5, 2009
BANC OF AMERICA SECURITIES LLC
October 28, 2003 - April 9, 2004
UBS SECURITIES LLC
November 22, 2000 - September 2, 2003
NATIONAL BANK OF CANADA FINANCIAL 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
(2/9/2026)
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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