KBW, INC.
SEC CIK 1063494 · KBW · last insider filing 2013-02-15
Directors (from insider filings)
| Name | Capacity as filed | Filings |
|---|---|---|
| Healy Daniel M | Director | filed 2006 - 2013 |
| Schmidt James K | Director | filed 2007 - 2013 |
| Condron Christopher M | Director | filed 2007 - 2013 |
| Zimmerman Michael J | Director | filed 2007 - 2013 |
| Duffy John G | Director · Director, Vice Chairman | filed 2006 - 2013 |
| Michaud Thomas R | Director · Director, Vice Chairman, COO | filed 2006 - 2013 |
| Senchak Andrew M | Director · Director, Vice chairman | filed 2006 - 2013 |
Officers (from insider filings)
| Name | Title as filed | Filings |
|---|---|---|
| Giambrone Robert | Chief Financial Officer | filed 2006 - 2013 |
| Kleinman Mitchell B | General Counsel | filed 2006 - 2013 |
| Roth Peter | CEO of KBW Asset Mgmt., Ltd. | filed 2006 - 2007 |
| Howard John N Jr | Head of Research | filed 2006 - 2007 |
| Moreno Vasco | Head of European Research | filed 2006 - 2007 |
| Wirth Peter J | Co-Head of Investment Banking | filed 2006 - 2007 |
| Coats E Craig Jr | Head of Fixed Income | filed 2006 - 2006 |
| Penny James B | Executive Vice President | filed 2006 - 2006 |
| Planer Robert G Jr | Head of Equity Sales | filed 2006 - 2006 |
| Wynne-Griffith Richard | Co-CEO of KBW, Ltd. | filed 2006 - 2006 |
About this record
From the SEC's insider-transaction filings (Forms 3, 4 and 5). Every reporting director and officer carries a Commission-assigned identifier (CIK), so these footprints are identifier-verified - no name matching involved. Insiders file when they transact, so dates are filing dates: "last filed" never means "served until". This layer is not yet joined to the nonprofit register - identity joins ship only after independent review.
Source: SEC Insider Transactions Data Sets (Forms 3/4/5), US Federal Government public domain.