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FIRM PROFILE
Overview
KEEFE, BRUYETTE & WOODS, INC. is located at 787 7th Avenue, New York, NY 10019 and was first established at New York, New York in 06/11/1962. After operating for 64 years, KEEFE, BRUYETTE & WOODS, INC. has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of KEEFE, BRUYETTE & WOODS, INC.’s clients are individuals and 0% of their clients are high net worth individuals. KEEFE, BRUYETTE & WOODS, INC. has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at KEEFE, BRUYETTE & WOODS, INC. are registered to handle securities or provide financial advice. The firm has 18 disclosures, 17 being regulatory events, 1 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access KEEFE, BRUYETTE & WOODS, INC.‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at KEEFE, BRUYETTE & WOODS, INC.. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for KEEFE, BRUYETTE & WOODS, INC. Comes From
Understanding the Statistics for KEEFE, BRUYETTE & WOODS, INC. and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
787 7th Avenue, New York, NY 10019
787 7th Avenue 4th Floor, New York, NY 10019
Medium
(212) 887-7777
New York since 06/11/1962
Corporation
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | 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 |
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Advisor's working at KEEFE, BRUYETTE & WOODS, INC.
Kathleen Marie Brockmeier
Adam Scott Melinger
Michael James Croce
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