SC
Shal U. Chowdhury
KEEFE, BRUYETTE & WOODS
New York, NY 10019
Some features on this profile are disabled
CRD#: 4956046
SC
Professional summary
Shal U Chowdhury, who also goes by Shal U Chowdhury, Shal Chowdhury, is a registered financial professional currently at KEEFE, BRUYETTE & WOODS, INC. located in New York, New York.
Shal is registered as a RR (Registered Representative) and started their career in finance in 2005. Shal has worked at 8 firms and has passed the Series 66, Series 63, Series 22TO, Series 99TO, Series 82TO, Series 6TO, SIE, Series 7, Series 79, Series 3, Series 55 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Shal U Chowdhury | Shal Chowdhury
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Shal U Chowdhury's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 26, 2023 - Present
KEEFE, BRUYETTE & WOODS, INC.
Office #1: 787 7th Avenue, New York, NY 10019BD
CRD#: 481
New York, NY
Past
March 8, 2021 - June 27, 2023
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
New York, NY
Past
September 1, 2015 - February 5, 2021
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
July 1, 2014 - August 13, 2015
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK CITY, NY
Past
October 17, 2013 - May 9, 2014
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NEW YORK, NY
Past
May 16, 2013 - May 9, 2014
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW YORK, NY
Past
October 17, 2011 - March 6, 2013
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
May 10, 2006 - February 19, 2008
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
BD
CRD#: 3466
SAN FRANCISCO, CA
Past
June 15, 2005 - May 16, 2006
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/26/2023)
RR
Alaska(7/26/2023)
RR
Arizona(7/26/2023)
RR
Arkansas(7/26/2023)
RR
California(7/26/2023)
RR
Colorado(7/26/2023)
RR
Connecticut(7/26/2023)
RR
Delaware(7/26/2023)
RR
District of Columbia(7/26/2023)
RR
Florida(7/26/2023)
RR
Georgia(7/26/2023)
RR
Hawaii(7/26/2023)
RR
Idaho(7/26/2023)
RR
Illinois(7/26/2023)
RR
Indiana(7/26/2023)
RR
Iowa(7/26/2023)
RR
Kansas(7/26/2023)
RR
Kentucky(7/26/2023)
RR
Louisiana(7/26/2023)
RR
Maine(7/26/2023)
RR
Maryland(7/26/2023)
RR
Massachusetts(7/26/2023)
RR
Michigan(7/26/2023)
RR
Minnesota(7/26/2023)
RR
Mississippi(7/26/2023)
RR
Missouri(7/26/2023)
RR
Montana(7/26/2023)
RR
Nebraska(7/26/2023)
RR
Nevada(7/26/2023)
RR
New Hampshire(7/26/2023)
RR
New Jersey(7/26/2023)
RR
New Mexico(7/26/2023)
RR
New York(7/26/2023)
RR
North Carolina(7/26/2023)
RR
North Dakota(7/26/2023)
RR
Ohio(7/26/2023)
RR
Oklahoma(7/26/2023)
RR
Oregon(7/26/2023)
RR
Pennsylvania(7/26/2023)
RR
Puerto Rico(7/26/2023)
RR
Rhode Island(7/26/2023)
RR
South Carolina(7/26/2023)
RR
South Dakota(7/26/2023)
RR
Tennessee(7/26/2023)
RR
Texas(7/26/2023)
RR
Utah(7/26/2023)
RR
Vermont(7/26/2023)
RR
Virginia(7/26/2023)
RR
Washington(7/26/2023)
RR
West Virginia(7/26/2023)
RR
Wisconsin(7/26/2023)
RR
Wyoming(7/26/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 6/27/2006
Limited Representative-Equity Trader ExamPrincipal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
KEEFE, BRUYETTE & WOODS, INC.
KEEFE, BRUYETTE & WOODS, INC.
CRD#: 481 / SEC#: , 8-10888
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
787 7th Avenue, New York, NY 10019
Mailing Address
787 7th Avenue 4th Floor, New York, NY 10019
Phone number
(212) 887-7777
Established
New York since 06/11/1962
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
