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  5. KEEFE, BRUYETTE & WOODS, INC.

KEEFE, BRUYETTE & WOODS, INC.

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Company Details

Name: KEEFE, BRUYETTE & WOODS, INC.
Jurisdiction: New York
Legal type: DOMESTIC BUSINESS CORPORATION
Status: Active
Date of registration: 11 Jun 1962 (63 years ago)
Entity Number: 148323
ZIP code: 63102
County: New York
Place of Formation: New York
Address: 501 N. Broadway, St. Louis, MO, United States, 63102
Principal Address: 787 SEVENTH AVE / 4TH FL, NEW YORK, NY, United States, 10019

Shares Details

Shares issued 0

Share Par Value 175000

Type CAP

Chief Executive Officer

Name Role Address
THOMAS B. MICHAUD Chief Executive Officer 787 SEVENTH AVE / 4TH FL, NEW YORK, NY, United States, 10019

Agent

Name Role Address
C T CORPORATION SYSTEM Agent 28 LIBERTY ST., NEW YORK, NY, 10005

DOS Process Agent

Name Role Address
C T CORPORATION SYSTEM DOS Process Agent 501 N. Broadway, St. Louis, MO, United States, 63102

Links between entities

Type:
Headquarter of
Company Number:
0098603
State:
CONNECTICUT
CONNECTICUT profile:
KEEFE, BRUYETTE & WOODS, INC. (CT)
Type:
Headquarter of
Company Number:
CORP_60486646
State:
ILLINOIS
ILLINOIS profile:
KEEFE, BRUYETTE & WOODS, INC. (IL)

Unique Entity ID

CAGE Code:
546J9
UEI Expiration Date:
2020-07-15

Business Information

URL:
http://www.kbw.com
Activation Date:
2019-05-17
Initial Registration Date:
2008-06-19

Central Index Key

CIK number:
0001134859
Phone:
800-966-1559
EDGAR Link:
View company profile on EDGAR website

Latest Filings

Form type:
SC 13G/A
Filing date:
2012-02-14
File:
View File
Form type:
13F-NT
File number:
028-13960
Filing date:
2011-08-15
File:
View File
Form type:
13F-NT
File number:
028-13960
Filing date:
2011-05-13
File:
View File
Form type:
SC 13G/A
Filing date:
2011-02-11
File:
View File
Form type:
13F-HR/A
File number:
028-13960
Filing date:
2010-05-19
File:
View File

Commercial and government entity program

CAGE number:
546J9
Status:
Obsolete
Type:
Non-Manufacturer
CAGE Update Date:
2025-06-10
CAGE Expiration:
2025-06-09
SAM Expiration:
2021-12-06

Contact Information

POC:
RICK WASSMUNDT
Corporate URL:
http://www.kbw.com

Immediate Level Owner

Vendor Certified:
2020-06-09
CAGE number:
4WMJ7
Company Name:
STIFEL, NICOLAUS & COMPANY, INCORPORATED

Legal Entity Identifier

LEI Number:
549300OM47DQV01G4854

Registration Details:

Initial Registration Date:
2015-03-06
Next Renewal Date:
2026-06-21
Registration Status:
ISSUED
Validation Source:
FULLY_CORROBORATED

History

Start date End date Type Value
2024-06-21 2025-04-14 Shares Share type: PAR VALUE, Number of shares: 10000, Par value: 0.01
2024-06-21 2024-06-21 Address 787 SEVENTH AVE / 4TH FL, NEW YORK, NY, 10019, USA (Type of address: Chief Executive Officer)
2021-07-20 2024-06-21 Shares Share type: PAR VALUE, Number of shares: 10000, Par value: 0.01
2021-06-18 2024-06-21 Address 28 LIBERTY ST, NEW YORK, NY, 10005, USA (Type of address: Service of Process)
2019-06-25 2021-06-18 Address 28 LIVERTY ST, NEW YORK, NY, 10005, USA (Type of address: Service of Process)

Filings

Filing Number Date Filed Type Effective Date
240621002654 2024-06-21 BIENNIAL STATEMENT 2024-06-21
220614001356 2022-06-14 BIENNIAL STATEMENT 2022-06-01
210618060083 2021-06-18 BIENNIAL STATEMENT 2020-06-01
190625060379 2019-06-25 BIENNIAL STATEMENT 2018-06-01
SR-1993 2019-01-28 CERTIFICATE OF CHANGE (BY AGENT) 2019-01-28

Trademarks Section

Serial Number:
88812739
Mark:
KBW
Status:
REGISTERED
Mark Type:
SERVICE MARK
Application Filing Date:
2020-02-27
Mark Drawing Type:
Standard character mark
Mark Literal Elements:
KBW
USPTO Link:
View Trademark Status and Document Retrieval (TSDR)

Goods And Services

For:
Financial and investment services, namely, management and brokerage in the fields of stocks, bonds, options, commodities, futures and other securities, and the investment of funds of others; financial asset management; financial investment analysis and stock research; financial planning and investme...
International Classes:
036 - Primary Class
Class Status:
Active
Serial Number:
88596613
Mark:
ACTIONABLE ALPHA
Status:
ABANDONED-FAILURE TO RESPOND OR LATE RESPONSE
Mark Type:
SERVICE MARK
Application Filing Date:
2019-08-28
Mark Drawing Type:
Standard character mark
Mark Literal Elements:
ACTIONABLE ALPHA
USPTO Link:
View Trademark Status and Document Retrieval (TSDR)

Goods And Services

For:
Financial and investment services, namely, management and brokerage in the fields of stocks, bonds, options, commodities, futures and other securities, and the investment of funds of others; financial asset management; financial investment analysis and stock research; financial planning and investme...
International Classes:
036 - Primary Class
Class Status:
Active

Court Cases

Court Case Summary

Filing Date:
2023-07-24
Status:
Terminated
Nature Of Judgment:
no monetary award
Jury Demand:
Neither plaintiff nor defendant demands jury
Nature Of Suit:
Other Contract Actions

Parties

Party Name:
KEEFE, BRUYETTE & WOODS, INC.
Party Role:
Plaintiff
Party Name:
W.R. BERKLEY CORPORATION
Party Role:
Defendant

Court Case Summary

Filing Date:
2019-02-05
Status:
Terminated
Nature Of Judgment:
no monetary award
Jury Demand:
Neither plaintiff nor defendant demands jury
Nature Of Suit:
Securities, Commodities, Exchange

Parties

Party Name:
AMTRUST FINANCIAL SERVICES, IN
Party Role:
Defendant
Party Name:
KEEFE, BRUYETTE & WOODS, INC.
Party Role:
Plaintiff

Court Case Summary

Filing Date:
2015-04-24
Status:
Terminated
Nature Of Judgment:
no monetary award
Jury Demand:
Plaintiff demands jury
Nature Of Suit:
Other Contract Actions

Parties

Party Name:
KEEFE, BRUYETTE & WOODS, INC.
Party Role:
Plaintiff
Party Name:
GREENHILL COGENT HOLDINGS, L.P
Party Role:
Defendant

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Date of last update: 18 Mar 2025

Sources: New York Secretary of State

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