Emily N. Lee
Professional summary
Emily Noelle Lee is a registered financial professional currently at KEEFE, BRUYETTE & WOODS, INC. located in New York, New York.
Emily is registered as a RR (Registered Representative) and started their career in finance in 2024. Emily has worked at 1 firm and has passed the Series 87, Series 86 and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Emily Noelle Lee's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 12, 2024 - Present
KEEFE, BRUYETTE & WOODS, INC.
Office #1: 787 7th Ave. 4th & 5th Floors, New York, NY 10019State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
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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