DP
Debora A. Pappolla
JEFFERIES INVESTMENT ADVISERS LLC
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 3234520
DP
Professional summary
Debora Ann Pappolla, who also goes by Debbie Pappolla, is a registered financial advisor currently at JEFFERIES INVESTMENT ADVISERS LLC located in Stamford, Connecticut and JEFFERIES LLC located in Stamford, Connecticut.
Debora is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Debora has 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"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Debora Ann Pappolla'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: The Metro Center One Station Place-three North, Stamford, CT 06902RIA
CRD#: 325421
Stamford, CT
Current
November 18, 2016 - Present
JEFFERIES LLC
Office #1: The Metro Center One Station Place-three North, Stamford, CT 06902BD
CRD#: 2347
Stamford, CT
Past
November 21, 2016 - August 14, 2023
LEUCADIA ASSET MANAGEMENT LLC
RIA
CRD#: 121767
Stamford, CT
Past
June 1, 2009 - November 21, 2016
MORGAN STANLEY
RIA
CRD#: 149777
NEW YORK, NY
Past
June 1, 2009 - November 21, 2016
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
WESTPORT, CT
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
WESTPORT, CT
Past
November 24, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
WESTPORT, CT
Past
November 24, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
WESTPORT, CT
Past
March 9, 2004 - November 28, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WESTPORT, CT
Past
March 9, 2004 - November 28, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WESTPORT, CT
Past
November 9, 1999 - April 2, 2004
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WESTPORT, CT
Past
July 13, 1999 - April 2, 2004
UBS FINANCIAL SERVICES INC.
BD
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".
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(11/18/2016)
IAR
Alabama(9/18/2025)
RR
Alaska(11/28/2018)
IAR
Alaska(9/23/2025)
RR
Arizona(11/18/2016)
IAR
Arizona(10/8/2025)
RR
Arkansas(11/28/2018)
IAR
Arkansas(10/1/2025)
RR
California(11/18/2016)
IAR
California(9/18/2025)
RR
Colorado(11/18/2016)
IAR
Colorado(9/19/2025)
RR
Connecticut(11/18/2016)
IAR
Connecticut(5/24/2023)
RR
Delaware(11/18/2016)
IAR
Delaware(9/18/2025)
RR
District of Columbia(11/28/2018)
RR
Florida(11/18/2016)
RR
Georgia(11/18/2016)
IAR
Georgia(9/19/2025)
RR
Hawaii(11/18/2016)
IAR
Hawaii(9/19/2025)
RR
Idaho(11/18/2016)
IAR
Idaho(9/18/2025)
RR
Illinois(11/18/2016)
IAR
Illinois(9/19/2025)
RR
Indiana(11/18/2016)
IAR
Indiana(9/19/2025)
RR
Iowa(11/18/2016)
IAR
Iowa(9/19/2025)
RR
Kansas(11/18/2016)
IAR
Kansas(9/18/2025)
RR
Kentucky(11/18/2016)
IAR
Kentucky(9/23/2025)
RR
Louisiana(11/18/2016)
IAR
Louisiana(9/18/2025)
RR
Maine(11/18/2016)
IAR
Maine(9/19/2025)
RR
Maryland(11/18/2016)
IAR
Maryland(9/19/2025)
RR
Massachusetts(11/18/2016)
RR
Michigan(11/18/2016)
IAR
Michigan(9/22/2025)
RR
Minnesota(11/18/2016)
IAR
Minnesota(9/23/2025)
RR
Mississippi(11/18/2016)
IAR
Mississippi(9/22/2025)
RR
Missouri(11/18/2016)
RR
Montana(11/18/2016)
IAR
Montana(9/23/2025)
RR
Nebraska(11/18/2016)
IAR
Nebraska(9/18/2025)
RR
Nevada(11/18/2016)
IAR
Nevada(9/19/2025)
RR
New Hampshire(11/18/2016)
IAR
New Hampshire(9/19/2025)
RR
New Jersey(11/18/2016)
IAR
New Jersey(9/18/2025)
RR
New Mexico(11/18/2016)
IAR
New Mexico(9/19/2025)
RR
New York(11/18/2016)
IAR
New York(9/18/2025)
RR
North Carolina(11/18/2016)
IAR
North Carolina(9/18/2025)
RR
North Dakota(11/18/2016)
IAR
North Dakota(9/22/2025)
RR
Ohio(11/18/2016)
IAR
Ohio(9/18/2025)
RR
Oklahoma(11/18/2016)
IAR
Oklahoma(9/22/2025)
RR
Oregon(11/28/2016)
IAR
Oregon(10/28/2025)
RR
Pennsylvania(11/18/2016)
IAR
Pennsylvania(9/19/2025)
RR
Puerto Rico(11/18/2016)
IAR
Puerto Rico(10/17/2025)
RR
Rhode Island(11/18/2016)
IAR
Rhode Island(9/19/2025)
RR
South Carolina(11/18/2016)
IAR
South Carolina(9/23/2025)
RR
South Dakota(11/18/2016)
IAR
South Dakota(9/19/2025)
RR
Tennessee(11/18/2016)
RR
Texas(11/18/2016)
IAR
Texas(9/19/2025)
RR
Utah(11/18/2016)
IAR
Utah(9/22/2025)
RR
Vermont(11/18/2016)
IAR
Vermont(9/18/2025)
RR
Virgin Islands(7/22/2024)
IAR
Virgin Islands(9/19/2025)
RR
Virginia(11/18/2016)
IAR
Virginia(9/19/2025)
RR
Washington(11/18/2016)
IAR
Washington(9/18/2025)
RR
West Virginia(11/18/2016)
IAR
West Virginia(9/22/2025)
RR
Wisconsin(11/18/2016)
IAR
Wisconsin(9/23/2025)
RR
Wyoming(11/18/2016)
IAR
Wyoming(9/22/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
