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Bose Thomas George

Keefe, Bruyette & Woods, Inc.

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About Bose Thomas George

Bose Thomas George is a financial advisor with Keefe, Bruyette & Woods, Inc., with over 25 years of experience in the financial industry. Bose has a strong background in financial services, having previously worked at UBS Securities LLC, PaineWebber Incorporated, Prudential Securities Incorporated, and Paribas Corporation. Bose holds the Series 7, Series 24, Series 63, Series 86, and Series 87 licenses. Bose is registered with FINRA and is licensed in New York.

Firm Information

Bose George is currently registered with Keefe, Bruyette & Woods, Inc.. Keefe, Bruyette & Woods, Inc. is a Corporation, formed in 1962, that is registered in all 50 states and the District of Columbia, plus Puerto Rico. The firm has been approved by the SEC and has been involved in 17 Regulatory Events and 1 Bond disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

88

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Bose George’s Registration & Firm History

NY

05/02/2005 - Present

Keefe, Bruyette & Woods, Inc. (NEW YORK NY)

NY

11/03/2000 - 05/16/2005

UBS SECURITIES LLC (NEW YORK NY)

NJ

06/14/2000 - 11/03/2000

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NY

04/08/1999 - 05/31/2000

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

09/17/1997 - 11/09/1998

PARIBAS CORPORATION (NEW YORK NY)

NY

06/18/1997 - 09/18/1997

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/14/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/03/2012

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/11/2005

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 01/14/2005

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 06/17/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Bose Thomas George.
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