JEFFERIES RESEARCH SERVICES LLC
Adviser information for JEFFERIES RESEARCH SERVICES LLC last updated from Form ADV on February 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | NOVEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 248 |
|---|---|
| Investment Advisory/Research | 248 |
| Registered Broker-Dealer Representatives | 248 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 125 |
| No. of Non-U.S. Clients | 1 |
Services
| Advisory Services | RESEARCH SERVICES |
|---|---|
| Compensation | Subscription feesFixed feesPLATFORM FEES |
Identifiers
| SEC RIA File Number | 801-112728 |
|---|---|
| SEC ERA File Number | 801-112728 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 292142 |
| Legal Entity Identifier | None |
Principal Office
520 MADISON AVENUENEW YORK
NY
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 212-284-2300, Fax: None
Websites
Chief Compliance Officer
SOFIA LOGUE
CCO
520 MADISON AVENUE
NEW YORK
NY
United States
Tel:
212-284-2599
S*****@************M
(Full email address available in API data)
Regulatory Contact
JOHN STAFFIERO
VP COMPLIANCE
520 MADISON AVENUE
NEW YORK
NY
United States
Tel:
212-778-8768
J*********@************M
(Full email address available in API data)
Industry Affiliates
| JEFFERIES (AUSTRALIA) SECURITIES PTY LTD | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| JEFFERIES (JAPAN) LIMITED TOKYO BRANCH | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| JEFFERIES GMBH | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| JEFFERIES HONG KONG LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| JEFFERIES INDIA PRIVATE LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| JEFFERIES INTERNATIONAL LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersSponsor or syndicator of limited partnerships |
| JEFFERIES INVESTMENT ADVISERS LLC | Other investment adviser, including financial planners |
| JEFFERIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerCommodity pool operator or commodity trading advisorFutures commission merchantSponsor or syndicator of limited partnerships |
| JEFFERIES SINGAPORE LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| LEUCADIA ASSET MANAGEMENT LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| M SCIENCE HONG KONG LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| EASTWOOD, MICHAEL, NEVILLE | Individual | – | PRESIDENT, CHIEF EXECUTIVE OFFICER & MANAGING DIRECTOR OF AMERICAS RESEARCH | 12/2017 | < 5% |
| LOGUE, SOFIA | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2017 | < 5% |
| LEVOVITZ, SONIA, HAN | Individual | – | SECRETARY | 12/2017 | < 5% |
| CRANK, ALANNA, MARY | Individual | – | CHIEF OPERATING OFFICER | 07/2020 | < 5% |
| BROOKS, JEFFREY | Individual | – | PRINCIPAL ACCOUNTING OFFICER | 10/2020 | < 5% |
| JEFFERIES FINANCIAL GROUP INC. | Domestic Entity | – | DIRECT OWNER | 11/2022 | > 75% |