Debora A. Pappolla

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CRD#: 3234520

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.

Debora Ann Pappolla, who also goes by Debbie Pappolla, was a registered financial professional .

Debora is a previously registered financial professional and started their career in finance in 1999. Debora had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Debbie Pappolla

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

May 24, 2023 - April 16, 2026

JEFFERIES INVESTMENT ADVISERS LLC

RIA

CRD#: 8174

WEEHAWKEN, NJ

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".

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/2/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/30/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/12/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 7/5/2014

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/8/2012

General Securities Sales Supervisor - Options Module Examination

Current Firm

JEFFERIES INVESTMENT ADVISERS LLC

CRD#: 325421 / SEC#: 801-127656

RIA

Registered Investment Advisory firm - (4/20/2023 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JEFFERIES INVESTMENT ADVISERS LLC - WRAP FEE BROCHURE (2/27/2025)

JEFFERIES INVESTMENT ADVISERS LLC - 2025 FINANCIAL PLANNING SERVICES BROCHURE (2/27/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Debora A. Pappolla

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

JEFFERIES INVESTMENT ADVISERS LLC

LEUCADIA ASSET MANAGEMENT LLC

JEFFERIES LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

JEFFERIES INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/2/1999

Series 63

Date: 7/30/1999

SIE

Date: 10/1/2018

Series 7

Date: 7/12/1999

Series 10

Date: 7/5/2014

Series 9

Date: 10/8/2012

Current Firm

JEFFERIES INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JEFFERIES INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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