JB
James P. Barbara
JEFFERIES INVESTMENT ADVISERS LLC
Los Angeles, CA 90025-0449
Some features on this profile are disabled
CRD#: 2528813
JB
Professional summary
James Peter Barbara, who also goes by James P Barbara, is a registered financial advisor currently at JEFFERIES INVESTMENT ADVISERS LLC located in Los Angeles, California and JEFFERIES LLC located in Los Angeles, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. James has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James P Barbara
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 name of the other business; Mammoth Mountain - Alterra Mountain Co. whether the business is investment-related; No the address of the other business; 10001 Minaret Rd, Mammoth Lakes, CA 93546 the nature of the other business; Mammoth Mountain is a ski resort in California your position; seasonal mountain host title, or relationship with the other business; seasonal employee the start date of your relationship; 10/26/2024 the approximate number of hours/month you devote to the other business; 25 the number of hours you devote to the other business during securities trading hours; 0 and briefly describe your duties relating to the other business; Work as a Mountain Host, providing friendly face-to-face solutions for Guests by answering questions, giving directions, and explaining things about the resort and their experience. "Name of the other business: Italian American Museum of Los Angeles Whether the business is investment-related: No Nature of the other business: Not for profit organization to support the Italian American Museum of Los Angeles Your position/title/relationship: Officer Start date of your relationship: 04/03/2023 Approximate number of hours/month devoted: 20 Number of hours during securities trading hours: 0 Briefly describe your duties: Recently appointed President of the Museum. Oversee fundraising and outreach"
CRS (Client Relationship Summary) - RIA
Click below to view James Peter Barbara's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 24, 2023 - Present
JEFFERIES INVESTMENT ADVISERS LLC
Office #1: 11100 Santa Monica Blvd Suite 1700, Los Angeles, CA 90025-0449RIA
CRD#: 325421
Los Angeles, CA
Current
May 9, 2023 - Present
JEFFERIES LLC
Office #1: 11100 Santa Monica Boulevard, Los Angeles, CA 90025BD
CRD#: 2347
Los Angeles, CA
Past
May 10, 2023 - August 14, 2023
LEUCADIA ASSET MANAGEMENT LLC
RIA
CRD#: 121767
Los Angeles, CA
Past
October 29, 2014 - May 23, 2023
CITY NATIONAL SECURITIES, INC.
RIA
CRD#: 103705
Los Angeles, CA
Past
October 28, 2014 - May 23, 2023
CITY NATIONAL SECURITIES, INC.
BD
CRD#: 103705
Los Angeles, CA
Past
January 3, 2011 - October 17, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
EL SEGUNDO, CA
Past
January 3, 2011 - October 17, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
EL SEGUNDO, CA
Past
August 20, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
EL SEGUNDO, CA
Past
August 19, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
EL SEGUNDO, CA
Past
May 29, 2007 - August 31, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
LOS ANGELES, CA
Past
May 29, 2007 - August 31, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
LOS ANGELES, CA
Past
December 8, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LOS ANGELES, CA
Past
December 5, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
LOS ANGELES, CA
Past
May 9, 2006 - August 17, 2006
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
LOS ANGELES, CA
Past
April 18, 2006 - August 17, 2006
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
November 4, 2005 - August 14, 2006
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
LOS ANGELES, CA
Past
November 3, 2005 - August 14, 2006
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
April 19, 2002 - December 2, 2005
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
LOS ANGELES, CA
Past
November 3, 1994 - December 2, 2005
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, 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".
JI
JEFFERIES INVESTMENT ADVISERS LLC
JEFFERIES INVESTMENT ADVISERS LLC
CRD#: 325421 / SEC#: 801-127656
RIA
Registered Investment Advisory firm - (4/20/2023 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/9/2023)
IAR
Alabama(9/18/2025)
RR
Alaska(5/9/2023)
IAR
Alaska(9/18/2025)
RR
Arizona(5/9/2023)
IAR
Arizona(10/14/2025)
RR
Arkansas(5/9/2023)
IAR
Arkansas(10/1/2025)
RR
California(5/9/2023)
IAR
California(5/24/2023)
RR
Colorado(5/9/2023)
IAR
Colorado(9/18/2025)
RR
Connecticut(5/9/2023)
IAR
Connecticut(9/19/2025)
RR
Delaware(5/9/2023)
IAR
Delaware(9/18/2025)
RR
District of Columbia(5/9/2023)
RR
Florida(5/9/2023)
IAR
Florida(10/3/2025)
RR
Georgia(5/9/2023)
IAR
Georgia(9/19/2025)
RR
Hawaii(5/9/2023)
IAR
Hawaii(9/19/2025)
RR
Idaho(5/9/2023)
IAR
Idaho(9/18/2025)
RR
Illinois(5/9/2023)
IAR
Illinois(9/19/2025)
RR
Indiana(5/9/2023)
IAR
Indiana(9/19/2025)
RR
Iowa(5/9/2023)
IAR
Iowa(9/19/2025)
RR
Kansas(5/9/2023)
IAR
Kansas(9/18/2025)
RR
Kentucky(5/9/2023)
IAR
Kentucky(9/23/2025)
RR
Louisiana(5/9/2023)
IAR
Louisiana(9/18/2025)
RR
Maine(5/9/2023)
IAR
Maine(9/19/2025)
RR
Maryland(5/9/2023)
IAR
Maryland(10/7/2025)
RR
Massachusetts(5/9/2023)
RR
Michigan(5/9/2023)
IAR
Michigan(9/22/2025)
RR
Minnesota(5/9/2023)
IAR
Minnesota(9/23/2025)
RR
Mississippi(5/9/2023)
IAR
Mississippi(9/18/2025)
RR
Missouri(5/9/2023)
RR
Montana(5/9/2023)
IAR
Montana(9/23/2025)
RR
Nebraska(5/9/2023)
IAR
Nebraska(9/18/2025)
RR
Nevada(5/9/2023)
IAR
Nevada(9/19/2025)
RR
New Hampshire(5/9/2023)
IAR
New Hampshire(9/19/2025)
RR
New Jersey(5/9/2023)
IAR
New Jersey(9/18/2025)
RR
New Mexico(5/9/2023)
IAR
New Mexico(9/19/2025)
RR
New York(5/9/2023)
IAR
New York(5/24/2023)
RR
North Carolina(5/9/2023)
IAR
North Carolina(9/18/2025)
RR
North Dakota(5/9/2023)
IAR
North Dakota(9/22/2025)
RR
Ohio(5/9/2023)
IAR
Ohio(9/18/2025)
RR
Oklahoma(5/9/2023)
IAR
Oklahoma(9/22/2025)
RR
Oregon(5/9/2023)
IAR
Oregon(10/21/2025)
RR
Pennsylvania(5/9/2023)
IAR
Pennsylvania(9/19/2025)
RR
Puerto Rico(5/9/2023)
IAR
Puerto Rico(10/14/2025)
RR
Rhode Island(5/9/2023)
IAR
Rhode Island(9/19/2025)
RR
South Carolina(5/9/2023)
IAR
South Carolina(9/22/2025)
RR
South Dakota(5/9/2023)
IAR
South Dakota(9/19/2025)
RR
Tennessee(5/9/2023)
RR
Texas(5/9/2023)
IAR
Texas(9/19/2025)
RR
Utah(5/9/2023)
IAR
Utah(9/18/2025)
RR
Vermont(5/9/2023)
IAR
Vermont(9/18/2025)
RR
Virgin Islands(5/9/2023)
IAR
Virgin Islands(9/19/2025)
RR
Virginia(5/9/2023)
IAR
Virginia(9/19/2025)
RR
Washington(5/9/2023)
RR
West Virginia(5/9/2023)
IAR
West Virginia(9/22/2025)
RR
Wisconsin(5/9/2023)
IAR
Wisconsin(9/23/2025)
RR
Wyoming(5/9/2023)
IAR
Wyoming(9/22/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JI
JEFFERIES INVESTMENT ADVISERS LLC
JEFFERIES INVESTMENT ADVISERS LLC
CRD#: 325421 / SEC#: 801-127656
RIA
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Contact information
Main Address
520 Madison Avenue, New York, NY 10022
Mailing Address
Phone number
(212) 284-2300
Established
Firm type
Fiscal year end
# of Employees
135
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,081 |
| AUM (Assets Under Management) | $ 3,402,872,417 |
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
JEFFERIES INVESTMENT ADVISERS LLC
CRD#: 325421Los Angeles, CA 90025-0449TRUST BUT VERIFY
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Contact information
xxxxx@xxxx.xxx
