Nelleen S. Smith
Professional Summary
Nelleen S. Smith, who also goes by Nelleen Briggs, Nelleen Cooper, Smith S. Nelleen S., is a registered financial advisor currently at JEFFERIES LLC located in New York, New York. Nelleen is registered as a RR (Registered Representative) and started their career in finance in 1996. Nelleen has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nelleen Briggs, Nelleen Cooper, Smith S. Nelleen S.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Years of Experience
30 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current Firm
JEFFERIES & COMPANY, INC. | JEFFERIES LLC
Contact Information
Main Address
520 Madison Avenue, New York, NY 10022Mailing Address
520 Madison Avenue 16th Floor, New York, NY 10022Phone Number
(212) 284-2300Established
Delaware since 03/01/2013Firm Type
Limited Liability CompanyFiscal Year End
NovemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JEFFERIES FINANCIAL GROUP INC | DIRECT OWNER | — |
| CAGNO, MARK LAWRENCE | GLOBAL CONTROLLER, MANAGING DIRECTOR | 2510148 |
| FISCELLA, MICHAEL EUGENE | GLOBAL HEAD OF OPERATIONS, MANAGING DIRECTOR | 2490187 |
| FORLENZA, PETER CHARLES | GLOBAL HEAD OF EQUITIES, MANAGING DIRECTOR | 2366985 |
| FRIEDMAN, BRIAN PAUL | DIRECTOR AND CHAIRMAN, EXECUTIVE COMMITTEE | 1298550 |
| HANDLER, RICHARD BRIAN | CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1563245 |
| LARSON, MATTHEW SCOTT | EXECUTIVE VICE PRESIDENT AND CFO/ PRINCIPAL FINANCIAL OFFICER | 2605152 |
| SCORAN, LAURI A | CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR | 2060170 |
| SHARP, MICHAEL JAMES | GENERAL COUNSEL, SECRETARY, EXECUTIVE VICE PRESIDENT | 1013864 |
| STACCONI, JOHN FRANCO | TREASURER | 1814227 |
Disclosures
Regulatory Event
134Arbitration
4Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
(9/16/2025)
(9/16/2025)
(9/16/2025)
(9/16/2025)
(5/11/2022)
(9/16/2025)
(5/11/2022)
(9/16/2025)
(9/16/2025)
(5/11/2022)
(11/18/2015)
(9/16/2025)
(9/16/2025)
(5/11/2022)
(5/11/2022)
(9/16/2025)
(9/16/2025)
(9/16/2025)
(9/16/2025)
(9/16/2025)
(9/16/2025)
(9/16/2025)
(9/16/2025)
(9/16/2025)
(9/16/2025)
(9/16/2025)
(9/16/2025)
(9/16/2025)
(9/16/2025)
(9/16/2025)
(5/11/2022)
(9/16/2025)
(11/18/2015)
(5/12/2022)
(9/16/2025)
(5/12/2022)
(9/16/2025)
(9/16/2025)
(9/16/2025)
(5/11/2022)
(9/16/2025)
(9/16/2025)
(9/16/2025)
(9/16/2025)
(5/11/2022)
(9/16/2025)
(9/16/2025)
(9/16/2025)
(9/16/2025)
(9/16/2025)
(9/16/2025)
(9/16/2025)
(9/16/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Apr 2002About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jul 2001About the Series 9 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRS (Client Relationship Summary) - BD
Click below to view Nelleen S. Smith's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED