AK
Ashwin Kakani
KEEFE, BRUYETTE & WOODS
San Francisco, CA 94104
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CRD#: 5750002
AK
Professional summary
Ashwin Kakani is a registered financial professional currently at KEEFE, BRUYETTE & WOODS, INC. located in San Francisco, California.
Ashwin is registered as a RR (Registered Representative) and started their career in finance in 2010. Ashwin has worked at 4 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Ashwin Kakani'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
March 5, 2015 - Present
KEEFE, BRUYETTE & WOODS, INC.
Office #1: 1 Montgomery Street Suite 3700 And Suite 3500, San Francisco, CA 94104BD
CRD#: 481
San Francisco, CA
Past
January 15, 2014 - March 10, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
SEATTLE, WA
Past
March 18, 2011 - July 5, 2012
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
MONTGOMERY, AL
Past
April 29, 2010 - March 16, 2011
SSC NY CORP.
BD
CRD#: 29804
MONTGOMERY, AL
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(4/23/2018)
RR
Alaska(4/23/2018)
RR
Arizona(4/23/2018)
RR
Arkansas(4/23/2018)
RR
California(3/5/2015)
RR
Colorado(4/23/2018)
RR
Connecticut(4/23/2018)
RR
Delaware(4/23/2018)
RR
District of Columbia(4/23/2018)
RR
Florida(4/23/2018)
RR
Georgia(4/23/2018)
RR
Hawaii(4/23/2018)
RR
Idaho(4/23/2018)
RR
Illinois(4/23/2018)
RR
Indiana(4/23/2018)
RR
Iowa(4/23/2018)
RR
Kansas(4/23/2018)
RR
Kentucky(4/23/2018)
RR
Louisiana(4/23/2018)
RR
Maine(4/23/2018)
RR
Maryland(4/23/2018)
RR
Massachusetts(4/23/2018)
RR
Michigan(4/23/2018)
RR
Minnesota(4/23/2018)
RR
Mississippi(4/23/2018)
RR
Missouri(4/23/2018)
RR
Montana(4/23/2018)
RR
Nebraska(4/23/2018)
RR
Nevada(4/23/2018)
RR
New Hampshire(4/23/2018)
RR
New Jersey(4/23/2018)
RR
New Mexico(4/23/2018)
RR
New York(4/23/2018)
RR
North Carolina(4/23/2018)
RR
North Dakota(4/23/2018)
RR
Ohio(4/23/2018)
RR
Oklahoma(4/23/2018)
RR
Oregon(4/23/2018)
RR
Pennsylvania(4/23/2018)
RR
Puerto Rico(4/23/2018)
RR
Rhode Island(4/23/2018)
RR
South Carolina(4/23/2018)
RR
South Dakota(4/23/2018)
RR
Tennessee(4/23/2018)
RR
Texas(4/23/2018)
RR
Utah(4/23/2018)
RR
Vermont(4/23/2018)
RR
Virginia(4/23/2018)
RR
Washington(4/23/2018)
RR
West Virginia(4/23/2018)
RR
Wisconsin(4/23/2018)
RR
Wyoming(4/23/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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.
