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Jefferies Investment Advisers LLC CRD 325421
$5.15B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
520 Madison Avenue, New York, NY 10022 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2025-11-07 |
| DC | RA | APPROVED | 2025-10-27 |
| OR | RA | APPROVED | 2025-10-22 |
| AZ | RA | APPROVED | 2025-10-14 |
| FL | RA | APPROVED | 2025-09-29 |
| ND | RA | APPROVED | 2025-09-22 |
| WV | RA | APPROVED | 2025-09-22 |
| GA | RA | APPROVED | 2025-09-19 |
| NV | RA | APPROVED | 2025-09-19 |
| NM | RA | APPROVED | 2025-09-19 |
| SD | RA | APPROVED | 2025-09-19 |
| VI | RA | APPROVED | 2025-09-19 |
| AL | RA | APPROVED | 2025-09-18 |
| AK | RA | APPROVED | 2025-09-18 |
| AR | RA | APPROVED | 2025-09-18 |
| CO | RA | APPROVED | 2025-09-18 |
| CT | RA | APPROVED | 2025-09-18 |
| DE | RA | APPROVED | 2025-09-18 |
| HI | RA | APPROVED | 2025-09-18 |
| ID | RA | APPROVED | 2025-09-18 |
| IL | RA | APPROVED | 2025-09-18 |
| IN | RA | APPROVED | 2025-09-18 |
| IA | RA | APPROVED | 2025-09-18 |
| KS | RA | APPROVED | 2025-09-18 |
| KY | RA | APPROVED | 2025-09-18 |
| LA | RA | APPROVED | 2025-09-18 |
| ME | RA | APPROVED | 2025-09-18 |
| MD | RA | APPROVED | 2025-09-18 |
| MI | RA | APPROVED | 2025-09-18 |
| MN | RA | APPROVED | 2025-09-18 |
| MS | RA | APPROVED | 2025-09-18 |
| MO | RA | APPROVED | 2025-09-18 |
| MT | RA | APPROVED | 2025-09-18 |
| NE | RA | APPROVED | 2025-09-18 |
| NH | RA | APPROVED | 2025-09-18 |
| NJ | RA | APPROVED | 2025-09-18 |
| NC | RA | APPROVED | 2025-09-18 |
| OH | RA | APPROVED | 2025-09-18 |
| OK | RA | APPROVED | 2025-09-18 |
| PA | RA | APPROVED | 2025-09-18 |
| PR | RA | APPROVED | 2025-09-18 |
| RI | RA | APPROVED | 2025-09-18 |
| SC | RA | APPROVED | 2025-09-18 |
| TX | RA | APPROVED | 2025-09-18 |
| UT | RA | APPROVED | 2025-09-18 |
| VT | RA | APPROVED | 2025-09-18 |
| VA | RA | APPROVED | 2025-09-18 |
| WA | RA | APPROVED | 2025-09-18 |
| WI | RA | APPROVED | 2025-09-18 |
| WY | RA | APPROVED | 2025-09-18 |
| CA | RA | APPROVED | 2023-05-24 |
| NY | RA | APPROVED | 2023-05-24 |
Branch Locations
101 California Street 31St Floor, San Francisco, CA 94111 • United States
520 Madison Avenue, New York, NY 10022 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| City National Bank | San Francisco | CA | 07/2004 | 02/2022 |
| Rim Securities | New York | NY | 09/2012 | 02/2022 |
| Rochdale Investment Management | New York | NY | 09/2012 | 02/2022 |
| Jefferies Llc | San Francisco | CA | 09/2022 | Present |
| Unemployed | Tiburon | CA | 03/2022 | 08/2022 |
| Jefferies Investment Advisers Llc | San Francisco | CA | 05/2023 | Present |
"Name of the other business: MIB Agents Whether the business is investment-related: No Nature of the other business: Non profit seeking a cure and supporting kids fighting Osteosarcoma Your position/title/relationship: Board Member Start date of your relationship: 12/01/2021 Approximate number of hours/month devoted: 5 Number of hours during securities trading hours: 0 Briefly describe your duties: Board member and Board Treasurer"
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2013-04-05 |
| S65 | Uniform Investment Adviser Law Examination | 1997-11-07 |
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