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Brendan Patrick Roughan

Keefe, Bruyette & Woods, Inc.

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About Brendan Patrick Roughan

Brendan Roughan is a financial advisor based in Baltimore, Maryland. Brendan has been active in the financial services industry since May 9, 1987. Brendan currently works at Keefe, Bruyette & Woods, Inc. and Stifel, Nicolaus & Company, Inc.. Brendan is registered in Maryland and has passed several industry exams, including the Series 63, 24, 57TO, SIE, 55, and 7.

Firm Information

Brendan Roughan 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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Brendan Roughan’s Registration & Firm History

MD

09/19/2023 - Present

Keefe, Bruyette & Woods, Inc. (BALTIMORE MD)

MD

03/13/2006 - 11/15/2007

STIFEL, NICOLAUS & COMPANY, INCORPORATED (BALTIMORE MD)

NY

02/21/2006 - 04/10/2006

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

MD

12/24/1996 - 02/21/2006

LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)

NY

06/18/1985 - 09/23/1996

DEUTSCHE MORGAN GRENFELL/C. J. LAWRENCE INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/19/1985

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/04/2002

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/07/1998

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 06/15/1985

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Brendan Patrick Roughan.
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