CRD #481 · FINRA BrokerCheck + SEC IAPD

Keefe, Bruyette & Woods, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Keefe, Bruyette & Woods, Inc. ranks #383 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #50 of 868 on the same disclosure sort used on the state browse page. Keefe, Bruyette & Woods, Inc. carries 17 BrokerCheck disclosures across 17 branch offices - elevated load for a regional firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
17
branch offices
17
disclosures
#383 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 481 Keefe, Bruyette & Woods, Inc.

Keefe, Bruyette & Woods, Inc. · Grade C · 17 disc · 1.00/office · Regional firm

  • CRD 481
  • GRADE C
  • DISC 17
  • REG 17
  • ARB 0
  • CIV 0
  • BRANCH 17
  • PER-OFF 1.00
  • RANK #383 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: 1ST Discount Brokerage, Inc. (1.00 disc/office)

1ST Discount Brokerage,…1.00B. Riley Securities, Inc.1.00Fidelity Distributors C…1.05Keefe, Bruyette & W… (this)1.00
Disclosures per office among regional firm peers (lower is cleaner)

Keefe, Bruyette & Woods, Inc. ranks #383 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

17 offices

FINRA: Medium firm

Total disclosures

17 events

On FINRA BrokerCheck

Regulatory events

17 actions

100% of all disclosures

Disclosures per office

1.00 per office

17 ÷ 17 offices

Keefe, Bruyette & Woods, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 24% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). This entry sits in this band. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 17
Arbitrations 0
Civil Events 0
Total 17

Counts for Keefe, Bruyette & Woods, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 17 Arbitration 0 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
New York, NY
CRD Number
481

Regulator-heavy mix

Keefe, Bruyette & Woods, Inc. in the heavier-disclosure third

Keefe, Bruyette & Woods, Inc. carries 17 BrokerCheck disclosures across 17 branch offices - a heavier-third raw book among graded firms (#383 of 20,055). Regulator-initiated events are 100% of the book (17 regulatory / 0 arbitration / 0 civil).

100% of Keefe, Bruyette & Woods, Inc.'s 17 disclosures are regulator-initiated (17 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Keefe, Bruyette & Woods, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 1.94× state average

Keefe, Bruyette & Woods, Inc. sits above the New York disclosure average

Keefe, Bruyette & Woods, Inc. reports 17 BrokerCheck disclosures, 1.94× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Keefe, Bruyette & Woods, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Keefe, Bruyette & Woods, Inc. ranks #383 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #50 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for Keefe, Bruyette & Woods, Inc.?
A grade of C reflects Keefe, Bruyette & Woods, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 17 total disclosures across 17 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Keefe, Bruyette & Woods, Inc. have?
Keefe, Bruyette & Woods, Inc. has 17 total FINRA disclosures, including 17 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Keefe, Bruyette & Woods, Inc.?
Keefe, Bruyette & Woods, Inc. operates 17 branch offices and is classified by FINRA as a medium firm, registered in NY (Regional firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Keefe, Bruyette & Woods, Inc.'s disciplinary record?
You can verify Keefe, Bruyette & Woods, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 481. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Keefe, Bruyette & Woods, Inc.'s 17 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Keefe, Bruyette & Woods, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Keefe, Bruyette & Woods, Inc. carries 17 disclosures across 17 branch offices (about 1.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Keefe, Bruyette & Woods, Inc., both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • 1ST Discount Brokerage, Inc. (FL) - 1.00 disclosures/office, nearest regional firm peer to Keefe, Bruyette & Woods, Inc.'s 1.00
  • B. Riley Securities, Inc. (VA) - 1.00 disclosures/office, nearest regional firm peer to Keefe, Bruyette & Woods, Inc.'s 1.00
  • Fidelity Distributors Company LLC (RI) - 1.05 disclosures/office, nearest regional firm peer to Keefe, Bruyette & Woods, Inc.'s 1.00
  • Firms in NY - state roster that includes Keefe, Bruyette & Woods, Inc.'s registration home.
  • Red Flags in Advisor Records - How to read Keefe, Bruyette & Woods, Inc.'s elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 17 disclosures behind Keefe, Bruyette & Woods, Inc.'s Grade C.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Keefe, Bruyette & Woods, Inc..
  • Compare firms - put Keefe, Bruyette & Woods, Inc. next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.