Keefe, Bruyette & Woods, Inc.

Broker-DealerFINRA Member
Total AUM
—
Advisory reps
246
Avg account
$0

Firm details

Headquarters
New York, New York
CRD number
481
Registered since
July 6, 1962
Website
kbw.com

Firm profile

FINTRX

Overview

Keefe, Bruyette & Woods, Inc. is organized as a corporation and is classified in FINTRX as an investment bank. Ownership is recorded as a mix of a domestic entity and individual owners. The dataset does not list advisory mandates, fee schedules, client demographics, or typical product shelf details; the profile on file emphasizes broker-dealer/investment banking activity rather than asset management or discretionary capital deployment. The firm is not identified in the source data as a capital allocator or an active ESG investor, and it is not listed as a multi-state adviser, newly formed adviser, pension consultant, or related adviser. Those flags suggest FINTRX treats the business as transaction- and markets-focused instead of a manager that runs pooled or separate client capital.

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

3 of 5
  • Avi Stein

    Avi Stein

    Chief Financial OfficerCRD 5835030

  • Mary Johnstone

    Mary Johnstone

    Chief Compliance OfficerCRD 1170408

  • Richard Smith

    Richard Smith

    CFO and Managing DirectorCRD 1333488

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Contacts

3 of 241
  • Dustin Behan

    Compliance ManagerCRD 6253127

  • Deborah Burlingame

    Commissions ManagerCRD 5387818

  • Matthew Land

    Matthew Land

    Compliance DirectorCRD 5471883

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

New York, NY

New York

Location

New York, NY

Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area
New York-Newark, NY-NJ-CT-PA
Region
Northeast
County
New York
Address
787 7th Ave
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth