KEEFE, BRUYETTE & WOODS, INC.

Headquarter

Company Details

Name:	KEEFE, BRUYETTE & WOODS, INC.
Jurisdiction:	New York
Legal type:	DOMESTIC BUSINESS CORPORATION
Status:	Active
Date of registration:	11 Jun 1962 (62 years ago) (Companies founded in June 1962)
Entity Number:	148323
ZIP code:	63102 (Companies in New York, 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

Links between entities

Type	Company Name	Company Number	State
Headquarter of	KEEFE, BRUYETTE & WOODS, INC.	0098603	CONNECTICUT
Headquarter of	KEEFE, BRUYETTE & WOODS, INC.	CORP_60486646	ILLINOIS

Central Index Key

CIK number

Mailing Address

Business Address

Phone

1134859

787 SEVENTH AVENUE, 4TH FLOOR, NEW YORK, NY, 10019

800-966-1559

Filings since 2012-02-14

Form type	SC 13G/A
Filing date	2012-02-14
File	View File

Filings since 2011-08-15

Form type	13F-NT
File number	028-13960
Filing date	2011-08-15
Reporting date	2011-06-30
File	View File

Filings since 2011-05-13

Form type	13F-NT
File number	028-13960
Filing date	2011-05-13
Reporting date	2011-03-31
File	View File

Filings since 2011-02-11

Form type	SC 13G/A
Filing date	2011-02-11
File	View File

Filings since 2010-05-19

Form type	13F-HR/A
File number	028-13960
Filing date	2010-05-19
Reporting date	2010-03-31
File	View File

Filings since 2010-05-17

Form type	13F-HR
File number	028-13960
Filing date	2010-05-17
Reporting date	2010-03-31
File	View File

Filings since 2010-02-16

Form type	SC 13G/A
Filing date	2010-02-16
File	View File

Filings since 2009-02-17

Form type	SC 13G/A
Filing date	2009-02-17
File	View File

Filings since 2009-01-14

Form type	SC 13G
Filing date	2009-01-14
File	View File

Filings since 2006-01-31

Form type	3
File number	811-10473
Filing date	2006-01-31
Reporting date	2002-03-21
File	View File

Filings since 2001-02-14

Form type	SC 13G/A
Filing date	2001-02-14
File	View File

Filings since 2001-02-14

Form type	SC 13G
Filing date	2001-02-14
File	View File

Commercial and government entity program

CAGE number

Status

Type

Established

CAGE Update Date

CAGE Expiration

SAM Expiration

546J9

Active

Non-Manufacturer

2008-06-20

2024-03-01

2025-06-09

2021-12-06

Contact Information

POC	RICK WASSMUNDT
Phone	+1 212-887-7798
Fax	+1 212-541-6644
Address	787 7TH AVE 4TH FL, NEW YORK, NY, 10019 6018, UNITED STATES

Ownership of Offeror Information

Highest Level Owner	Information not Available

Immediate Level Owner
Vendor Certified	2020-06-09
CAGE number	4WMJ7
Company Name	STIFEL, NICOLAUS & COMPANY, INCORPORATED
CAGE Last Updated	2024-11-05

List of Offerors (0)	Information not Available

Legal Entity Identifier

LEI number

Registered As

Jurisdiction Of Formation

General Category

Entity Status

Entity created at

549300OM47DQV01G4854

148323

US-NY

GENERAL

ACTIVE

1962-10-06

Addresses

Legal	28 LIBERTY ST., New York, US-NY, US, 10005
Headquarters	28 LIBERTY ST., New York, US-NY, US, 10005

Registration details

Registration Date	2015-03-06
Last Update	2024-06-21
Status	ISSUED
Next Renewal	2025-06-21
LEI Issuer	529900T8BM49AURSDO55
Corroboration Level	FULLY_CORROBORATED
Data Validated As	148323

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

History

Start date	End date	Type	Value
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)
2019-01-28	2019-06-25	Address	28 LIBERTY ST., NEW YORK, NY, 10005, USA (Type of address: Service of Process)
2019-01-28	2024-06-21	Address	28 LIBERTY ST., NEW YORK, NY, 10005, USA (Type of address: Registered Agent)
2014-11-03	2019-01-28	Address	111 EIGHTH AVENUE, NEW YORK, NY, 10011, USA (Type of address: Registered Agent)
2014-11-03	2019-01-28	Address	111 EIGHTH AVENUE, NEW YORK, NY, 10011, USA (Type of address: Service of Process)
2012-06-05	2014-11-03	Address	787 SEVENTH AVE, NEW YORK, NY, 10019, USA (Type of address: Service of Process)
2012-06-05	2024-06-21	Address	787 SEVENTH AVE / 4TH FL, NEW YORK, NY, 10019, USA (Type of address: Chief Executive Officer)
2008-06-20	2012-06-05	Address	787 SEVENTH AVE, NEW YORK, NY, 10019, USA (Type of address: Service of Process)
2006-05-30	2008-06-20	Address	787 SEVENTH AVE / 4TH FL, NEW YORK, NY, 10019, USA (Type of address: Service of Process)
2006-05-30	2012-06-05	Address	787 SEVENTH AVE / 4TH FL, NEW YORK, NY, 10019, USA (Type of address: Chief Executive Officer)
2005-07-29	2006-05-30	Address	787 SEVENTH AVENUE 4TH FL, NEW YORK, NY, 10019, USA (Type of address: Service of Process)
2005-07-29	2021-07-20	Shares	Share type: PAR VALUE, Number of shares: 10000, Par value: 0.01
2002-06-19	2005-07-29	Address	787 7TH AVE., 4TH FLOOR, NEW YORK, NY, 10019, USA (Type of address: Service of Process)
2002-06-19	2006-05-30	Address	787 7TH AVE, 4TH FLOOR, NEW YORK, NY, 10019, USA (Type of address: Chief Executive Officer)
2002-06-19	2006-05-30	Address	787 7TH AVE, 4TH FLOOR, NEW YORK, NY, 10019, USA (Type of address: Principal Executive Office)
2000-09-25	2002-06-19	Address	2 WORLD TRADE CENTER, 89TH FL, NEW YORK, NY, 10048, USA (Type of address: Principal Executive Office)
2000-09-25	2002-06-19	Address	2 WORLD TRADE CENTER, 89TH FL, NEW YORK, NY, 10048, USA (Type of address: Service of Process)
2000-09-25	2002-06-19	Address	2 WORLD TRADE CENTER, 89TH FL, NEW YORK, NY, 10048, USA (Type of address: Chief Executive Officer)
2000-08-30	2014-11-03	Address	80 STATE STREET, ALBANY, NY, 12207, 2543, USA (Type of address: Registered Agent)
2000-08-30	2000-09-25	Address	80 STATE STREET, ALBANY, NY, 12207, 2543, USA (Type of address: Service of Process)
1998-07-07	2000-09-25	Address	2 WORLD TRADE CENTER, STE 8566, NEW YORK, NY, 10048, USA (Type of address: Chief Executive Officer)
1995-02-16	1998-07-07	Address	2 WORLD TRADE CENTER, SUITE 8566, NEW YORK, NY, 10048, USA (Type of address: Chief Executive Officer)
1995-02-16	2000-09-25	Address	2 WORLD TRADE CENTER, SUITE 8566, NEW YORK, NY, 10048, USA (Type of address: Principal Executive Office)
1995-02-16	2000-08-30	Address	2 WORLD TRADE CENTER, SUITE 8566, NEW YORK, NY, 10048, USA (Type of address: Service of Process)
1991-10-24	1991-10-24	Shares	Share type: PAR VALUE, Number of shares: 10000, Par value: 12.5
1991-10-24	1991-10-24	Shares	Share type: PAR VALUE, Number of shares: 5000000, Par value: 0.01
1991-10-24	2005-07-29	Shares	Share type: PAR VALUE, Number of shares: 10000, Par value: 12.5
1991-10-24	2005-07-29	Shares	Share type: PAR VALUE, Number of shares: 5000000, Par value: 0.01
1984-03-13	1984-03-13	Shares	Share type: PAR VALUE, Number of shares: 10000, Par value: 12.5
1984-03-13	1984-03-13	Shares	Share type: PAR VALUE, Number of shares: 5000000, Par value: 0.01
1984-03-13	1991-10-24	Shares	Share type: PAR VALUE, Number of shares: 10000, Par value: 12.5
1984-03-13	1991-10-24	Shares	Share type: PAR VALUE, Number of shares: 5000000, Par value: 0.01
1972-07-11	1984-03-13	Shares	Share type: PAR VALUE, Number of shares: 500000, Par value: 0.1
1972-07-11	1972-07-11	Shares	Share type: PAR VALUE, Number of shares: 10000, Par value: 12.5
1972-07-11	1984-03-13	Shares	Share type: PAR VALUE, Number of shares: 10000, Par value: 12.5
1972-07-11	1972-07-11	Shares	Share type: PAR VALUE, Number of shares: 500000, Par value: 0.1
1965-05-12	1972-07-11	Shares	Share type: PAR VALUE, Number of shares: 50000, Par value: 1
1965-05-12	1965-05-12	Shares	Share type: PAR VALUE, Number of shares: 50000, Par value: 1
1965-05-12	1972-07-11	Shares	Share type: PAR VALUE, Number of shares: 10000, Par value: 12.5
1965-05-12	1965-05-12	Shares	Share type: PAR VALUE, Number of shares: 10000, Par value: 12.5
1962-06-11	1995-02-16	Address	1 CHASE MANHATTAN PLAZA, 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
SR-1994	2019-01-28	CERTIFICATE OF CHANGE (BY AGENT)	2019-01-28
160607006165	2016-06-07	BIENNIAL STATEMENT	2016-06-01
150323006297	2015-03-23	BIENNIAL STATEMENT	2014-06-01
141103000533	2014-11-03	CERTIFICATE OF CHANGE	2014-11-03
120605006660	2012-06-05	BIENNIAL STATEMENT	2012-06-01
100628002048	2010-06-28	BIENNIAL STATEMENT	2010-06-01
080620002860	2008-06-20	BIENNIAL STATEMENT	2008-06-01
060530002905	2006-05-30	BIENNIAL STATEMENT	2006-06-01
050811000359	2005-08-11	CERTIFICATE OF AMENDMENT	2005-08-11
050801001397	2005-08-01	CERTIFICATE OF AMENDMENT	2005-08-01
050729000417	2005-07-29	CERTIFICATE OF MERGER	2005-08-01
040708002802	2004-07-08	BIENNIAL STATEMENT	2004-06-01
030424000755	2003-04-24	CERTIFICATE OF AMENDMENT	2003-04-24
020619002649	2002-06-19	BIENNIAL STATEMENT	2002-06-01
000925002103	2000-09-25	BIENNIAL STATEMENT	2000-06-01
000830000296	2000-08-30	CERTIFICATE OF CHANGE	2000-08-30
980707002237	1998-07-07	BIENNIAL STATEMENT	1998-06-01
960731000122	1996-07-31	CERTIFICATE OF MERGER	1996-08-01
960725002160	1996-07-25	BIENNIAL STATEMENT	1996-06-01
950216002166	1995-02-16	BIENNIAL STATEMENT	1993-06-01
920610000094	1992-06-10	CERTIFICATE OF AMENDMENT	1992-06-10
911024000398	1991-10-24	CERTIFICATE OF AMENDMENT	1991-10-24
C070806-2	1989-10-31	ASSUMED NAME CORP INITIAL FILING	1989-10-31
B079060-9	1984-03-13	CERTIFICATE OF AMENDMENT	1984-03-13
A229386-9	1975-04-25	CERTIFICATE OF AMENDMENT	1975-04-25
A1745-9	1972-07-11	CERTIFICATE OF AMENDMENT	1972-07-11
497322	1965-05-12	CERTIFICATE OF AMENDMENT	1965-05-12
335469	1962-07-18	CERTIFICATE OF AMENDMENT	1962-07-18
330045	1962-06-11	CERTIFICATE OF INCORPORATION	1962-06-11

Date of last update: 17 Nov 2024

Sources: New York Secretary of State