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AC

Anne M. Carey

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CRD#: 2528129
AC

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Anne M Carey, who also goes by Anne Marie Carey, was a registered financial professional .

Anne is a previously registered financial professional and started their career in finance in 1996. Anne had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Anne Marie Carey

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 20, 2017 - March 15, 2018

LEUCADIA ASSET MANAGEMENT LLC

RIA
CRD#: 121767
NEW YORK, NY
Past

March 20, 2017 - March 15, 2018

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

August 17, 2015 - March 21, 2017

MORGAN STANLEY

RIA
CRD#: 149777
NEW YORK, NY
Past

January 14, 2015 - March 21, 2017

MORGAN STANLEY

BD
CRD#: 149777
NEW YORK, NY
Past

August 5, 2014 - January 9, 2015

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
UNIONDALE, NY
Past

August 5, 2014 - January 9, 2015

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
UNIONDALE, NY
Past

May 1, 2010 - August 18, 2014

MORGAN STANLEY

RIA
CRD#: 149777
GARDEN CITY, NY
Past

March 25, 2010 - August 18, 2014

MORGAN STANLEY

BD
CRD#: 149777
GARDEN CITY, NY
Past

February 9, 1999 - March 19, 2010

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
UNIONDALE, NY
Past

May 27, 1998 - January 19, 1999

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

March 19, 1996 - May 5, 1998

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LA
LEUCADIA ASSET MANAGEMENT LLC
JEFFERIES INVESTMENT ADVISERS, LLC | LEUCADIA ASSET MANAGEMENT LLC | JEFFERIES PRIVATE CLIENT ADVISERS, LLC

CRD#: 121767 / SEC#: 801-61698

RIA
Registered Investment Advisory firm - (1/21/2003 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/7/2015
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/15/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/15/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/11/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/9/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/8/2000
General Securities Sales Supervisor - Options Module Examination

Current Firm

LA
LEUCADIA ASSET MANAGEMENT LLC
JEFFERIES INVESTMENT ADVISERS, LLC | LEUCADIA ASSET MANAGEMENT LLC | JEFFERIES PRIVATE CLIENT ADVISERS, LLC

CRD#: 121767 / SEC#: 801-61698

RIA
Registered Investment Advisory firm - (1/21/2003 Approved)
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Contact information

Main Address
520 Madison Avenue, New York, NY 10022-4213
Mailing Address
Phone number
(212) 284-2300
Established
Firm type
Fiscal year end
# of Employees
48

SEC notice filing (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

LEUCADIA ASSET MANAGEMENT LLC - KATHMANDU BROCHURE (2/28/2025)
LEUCADIA ASSET MANAGEMENT LLC - GLOBAL MACRO BROCHURE (2/28/2025)
LEUCADIA ASSET MANAGEMENT LLC - TOPWATER CAPITAL DIVISION (2/28/2025)
LEUCADIA ASSET MANAGEMENT LLC - JEFFERIES FAMILY OFFICE DIVISION (2/28/2025)
LEUCADIA ASSET MANAGEMENT LLC - POINT BONITA BROCHURE (2/28/2025)

Regulatory assets under management

Total Number of Accounts16
AUM (Assets Under Management)$ 4,042,872,103

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

LEUCADIA ASSET MANAGEMENT LLC

CRD#: 121767

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