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JK

Joseph K. Kubert

JEFFERIES LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 5834601
JK

Professional summary

Joseph K. Kubert, who also goes by Joseph Kubert, Joe Kubert, Joseph K. Kubert, Joseph Karol Kubert, is a registered financial professional currently at JEFFERIES LLC located in Chicago, Illinois.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2010. Joseph has worked at 4 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph Kubert | Joe Kubert | Joseph K. Kubert | Joseph Karol Kubert

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) - BD

Click below to view Joseph K. Kubert's CRS (Customer Relationship Summary).
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®
None

Experience

Current

December 4, 2023 - Present

JEFFERIES LLC

Office #1: 155 North Wacker Drive, Chicago, IL 60606
BD
CRD#: 2347
Chicago, IL
Past

August 13, 2021 - September 12, 2023

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

September 6, 2018 - June 7, 2021

LAZARD FRERES & CO. LLC

BD
CRD#: 2528
NEW YORK, NY
Past

September 10, 2010 - July 28, 2016

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY

State Registrations and Notice Filings

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

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
Florida
(9/8/2025)
RR
Illinois
(12/8/2023)
RR
Tennessee
(9/8/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 10/8/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/9/2010
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

JL
JEFFERIES LLC
JEFFERIES & COMPANY, INC. | JEFFERIES LLC

CRD#: 2347 / SEC#: , 8-15074

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
520 Madison Avenue, New York, NY 10022
Mailing Address
520 Madison Avenue 16th Floor, New York, NY 10022
Phone number
(212) 284-2300
Established
Delaware since 03/01/2013
Firm type
Limited Liability Company
Fiscal year end
November
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JEFFERIES FINANCIAL GROUP INCDIRECT OWNER
CAGNO, MARK LAWRENCEGLOBAL CONTROLLER, MANAGING DIRECTOR2510148
FISCELLA, MICHAEL EUGENEGLOBAL HEAD OF OPERATIONS, MANAGING DIRECTOR2490187
FORLENZA, PETER CHARLESGLOBAL HEAD OF EQUITIES, MANAGING DIRECTOR2366985
FRIEDMAN, BRIAN PAULDIRECTOR AND CHAIRMAN, EXECUTIVE COMMITTEE1298550
HANDLER, RICHARD BRIANCHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR1563245
LARSON, MATTHEW SCOTTEXECUTIVE VICE PRESIDENT AND CFO/ PRINCIPAL FINANCIAL OFFICER2605152
SCORAN, LAURI ACHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR2060170
SHARP, MICHAEL JAMESGENERAL COUNSEL, SECRETARY, EXECUTIVE VICE PRESIDENT1013864
STACCONI, JOHN FRANCOTREASURER1814227

Disclosures

Regulatory Event133
Arbitration4

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 LLC

CRD#: 2347Chicago, IL 60606

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