Denise Farlekas

JEFFERIES INVESTMENT ADVISERS LLC

Philadelphia, PA 19103

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CRD#: 6593070

Professional summary

Denise Farlekas is a registered financial advisor currently at JEFFERIES INVESTMENT ADVISERS LLC located in Philadelphia, Pennsylvania and JEFFERIES LLC located in Philadelphia, Pennsylvania.

Denise is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Denise has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Language below should be added to every U4 you create for a JPM-JPMS LOB U4. This will go into section 13. Effective 6/15/2018 I will be an employee of both JPMorgan Securities and JPMorgan Bank. JPMorgan Bank offers a broad range of products and services nationwide. As an employee of JPMorgan Bank I will be able to offer certain bank products and services, including deposit and credit products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Denise Farlekas'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

May 24, 2023 - Present

JEFFERIES INVESTMENT ADVISERS LLC

Office #1: 1900 Market Street 8th Floor Suite #230, Philadelphia, PA, 19103

RIA

CRD#: 325421

Philadelphia, PA

Current

December 5, 2022 - Present

JEFFERIES LLC

Office #1: 1900 Market Street 8th Floor Suite #230, Philadelphia, PA, 19103

CRD#: 2347

Philadelphia, PA

Past

December 5, 2022 - August 14, 2023

LEUCADIA ASSET MANAGEMENT LLC

RIA

CRD#: 121767

NEW YORK, NY

Past

April 6, 2016 - December 3, 2022

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

PHILADELPHIA, PA

Past

January 26, 2016 - December 3, 2022

J.P. MORGAN SECURITIES LLC

CRD#: 79

PHILADELPHIA, PA

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(12/5/2022)

Alaska
(12/5/2022)

Arizona
(12/5/2022)

Arkansas
(12/5/2022)

California
(12/5/2022)

Colorado
(12/5/2022)

Connecticut
(12/5/2022)

Delaware
(12/5/2022)

District of Columbia
(12/5/2022)

Florida
(12/5/2022)

Georgia
(12/5/2022)

Hawaii
(12/5/2022)

Idaho
(12/5/2022)

Illinois
(12/5/2022)

Indiana
(12/5/2022)

Iowa
(12/5/2022)

Kansas
(12/5/2022)

Kentucky
(12/5/2022)

Louisiana
(12/5/2022)

Maine
(12/5/2022)

Maryland
(12/5/2022)

Massachusetts
(12/5/2022)

Michigan
(12/5/2022)

Minnesota
(12/5/2022)

Mississippi
(12/5/2022)

Missouri
(12/5/2022)

Montana
(12/5/2022)

Nebraska
(12/5/2022)

Nevada
(12/5/2022)

New Hampshire
(12/5/2022)

New Jersey
(12/5/2022)

New Mexico
(12/5/2022)

New York
(12/5/2022)

IAR

New York
(5/24/2023)

North Carolina
(12/5/2022)

North Dakota
(12/5/2022)

Ohio
(12/5/2022)

Oklahoma
(12/5/2022)

Oregon
(12/5/2022)

Pennsylvania
(12/5/2022)

IAR

Pennsylvania
(5/24/2023)

Puerto Rico
(12/5/2022)

Rhode Island
(12/5/2022)

South Carolina
(12/5/2022)

South Dakota
(12/5/2022)

Tennessee
(12/5/2022)

Texas
(12/5/2022)

Utah
(12/5/2022)

Vermont
(12/5/2022)

Virgin Islands
(3/16/2023)

Virginia
(12/5/2022)

Washington
(12/5/2022)

West Virginia
(12/5/2022)

Wisconsin
(12/5/2022)

Wyoming
(12/5/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/31/2016

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: 1/26/2016

General Securities Representative Examination

SRO Registrations

24X National Exchange LLC

SRO Registrations

BOX Exchange LLC

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe C2 Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Long-Term Stock Exchange, Inc.

SRO Registrations

MEMX LLC

SRO Registrations

MIAX Emerald, LLC

SRO Registrations

MIAX PEARL, LLC

SRO Registrations

MIAX Sapphire

SRO Registrations

Miami International Securities Exchange, LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE National, Inc.

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq GEMX, LLC

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq MRX, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

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

Denise Farlekas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Denise Farlekas's CRS (Customer Relationship Summary).

Certified licenses

Experience

JEFFERIES LLC

LEUCADIA ASSET MANAGEMENT LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

JEFFERIES INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/31/2016

SIE

Date: 10/1/2018

Series 7

Date: 1/26/2016

24X National Exchange LLC

BOX Exchange LLC

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe C2 Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

Cboe Exchange, Inc.

FINRA

Investors' Exchange LLC

Long-Term Stock Exchange, Inc.

MEMX LLC

MIAX Emerald, LLC

MIAX PEARL, LLC

MIAX Sapphire

Miami International Securities Exchange, LLC

NYSE American LLC

NYSE Arca, Inc.

NYSE National, Inc.

NYSE Texas, Inc.

Nasdaq BX, Inc.

Nasdaq GEMX, LLC

Nasdaq ISE, LLC

Nasdaq MRX, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

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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