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Rahul Buxani

Keefe, Bruyette & Woods, Inc.

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About Rahul Buxani

Rahul Buxani is a Financial Advisor with Keefe, Bruyette & Woods, Inc. Rahul is currently registered with FINRA, and is registered to provide securities-related services in 52 states and the District of Columbia. Rahul has a long history in the financial industry, dating back to June 26, 2007. Previously Rahul was affiliated with JMP Securities LLC, Oppenheimer & Co. Inc., Ernst & Young Capital Advisors, LLC, J.P. Morgan Securities LLC and J.P. Morgan Securities Inc. Rahul has a wide range of experience and expertise in the financial industry.

Firm Information

Rahul Buxani 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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Rahul Buxani’s Registration & Firm History

NY

05/31/2023 - Present

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

NY

07/06/2021 - 05/30/2023

JMP SECURITIES LLC (NEW YORK NY)

NY

03/28/2018 - 07/02/2021

OPPENHEIMER & CO. INC. (NEW YORK NY)

NY

10/03/2013 - 06/08/2017

ERNST & YOUNG CAPITAL ADVISORS, LLC (NEW YORK NY)

NY

10/01/2008 - 10/03/2012

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

NY

09/05/2005 - 10/01/2008

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/06/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/15/2019

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/02/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

F

FINRA

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Rahul Buxani.
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