Robert J. Plunkett
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Joseph Plunkett, who also goes by Robert J Plunkett, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1977. Robert had worked at 13 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2005 - December 19, 2007
KEEFE, BRUYETTE & WOODS, INC.
March 3, 1998 - January 31, 2005
BNY CAPITAL MARKETS INC.
March 13, 1996 - March 3, 1998
EAGLE ROCK CAPITAL GROUP, INC.
March 7, 1994 - August 18, 1995
CHASE SECURITIES, INC.
October 2, 1991 - April 20, 1994
LEHMAN SPECIAL SECURITIES INC.
October 2, 1991 - April 20, 1994
LEHMAN GOVERNMENT SECURITIES INC.
October 2, 1991 - April 20, 1994
LEHMAN BROTHERS INC.
April 11, 1990 - May 16, 1991
KIDDER, PEABODY & CO. INCORPORATED
September 13, 1989 - February 7, 1990
WHITEHILL CAPITAL, INC.
January 23, 1989 - August 1, 1989
THOMSON MCKINNON SECURITIES INC.
May 3, 1988 - October 14, 1988
NOMURA SECURITIES INTERNATIONAL, INC.
January 14, 1988 - April 7, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 3, 1977 - September 20, 1985
SALOMON BROTHERS 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
Exams
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
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.
