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RK

Ryan J. Krueger

KEEFE, BRUYETTE & WOODS
Hartford, CT 06103
Some features on this profile are disabled
CRD#: 5150115
RK

Professional summary

Ryan Joel Krueger, CFA is a registered financial professional currently at KEEFE, BRUYETTE & WOODS, INC. located in Hartford, Connecticut.

Ryan is registered as a RR (Registered Representative) and started their career in finance in 2006. Ryan has worked at 2 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ryan Joel Krueger's CRS (Customer Relationship Summary).
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®
CFA

Chartered Financial Analyst

Experience

Current

April 25, 2014 - Present

KEEFE, BRUYETTE & WOODS, INC.

Office #1: 90 State House Square 12th Floor, Hartford, CT 06103
BD
CRD#: 481
Hartford, CT
Past

April 14, 2011 - March 31, 2014

DOWLING & PARTNERS SECURITIES LLC

BD
CRD#: 24746
FARMINGTON, CT
Past

July 14, 2006 - April 8, 2011

KEEFE, BRUYETTE & WOODS, INC.

BD
CRD#: 481
HARTFORD, CT

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
Connecticut
(4/25/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 7/7/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 9/21/2006
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 9/14/2006
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 7/13/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/27/2012
General Securities Principal Examination
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.
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KBW, LLCLIMITED LIABILITTY CORPORATION
ANDERSON, SCOTT RANDALLDIRECTOR2154345
BERRY, JOSEPH SCOTTDIRECTOR2868513
DAVIS, ERICKSON PDIRECTOR4974063
FISHER, MARKGENERAL COUNSEL4970942
GRANT, ROBERT JDIRECTOR4861012
JOHNSTONE, MARYCHIEF COMPLIANCE OFFICER1170408
KELLEY, MATTHEWDIRECTOR5330646
MELINGER, ADAM SCOTTROSFP2373020
MICHAUD, THOMAS BEAULIEUCHIEF EXECUTIVE OFFICER, CHAIRMAN AND PRESIDENT1672278
SMITH, RICHARD WILLIAMPRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER1333488
WIRTH, PETER JOHNDIRECTOR1623159

Disclosures

Regulatory Event17
Bond1

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.

Company Information

KEEFE, BRUYETTE & WOODS, INC.

KEEFE, BRUYETTE & WOODS, INC.

CRD#: 481Hartford, CT 06103

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