SB
Samuel M. Brick
JEFFERIES INVESTMENT ADVISERS LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 7266739
SB
Professional summary
Samuel Marlowe Brick, who also goes by Samuel Brick, is a registered financial advisor currently at JEFFERIES INVESTMENT ADVISERS LLC located in Chicago, Illinois and JEFFERIES LLC located in Chicago, Illinois.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Samuel has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Samuel Brick
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 Samuel Marlowe Brick'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: 155 North Wacker Drive, Chicago, IL 60606RIA
CRD#: 325421
Chicago, IL
Current
May 10, 2021 - Present
JEFFERIES LLC
Office #1: 155 North Wacker Drive, Chicago, IL 60606BD
CRD#: 2347
Chicago, IL
Past
July 8, 2021 - August 14, 2023
LEUCADIA ASSET MANAGEMENT LLC
RIA
CRD#: 121767
Chicago, IL
Past
August 7, 2020 - May 11, 2021
JPMORGAN DISTRIBUTION SERVICES, INC.
BD
CRD#: 104234
COLUMBUS, OH
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(5/10/2021)
IAR
Alabama(9/18/2025)
RR
Alaska(5/10/2021)
IAR
Alaska(9/23/2025)
RR
Arizona(5/10/2021)
IAR
Arizona(10/10/2025)
RR
Arkansas(5/10/2021)
IAR
Arkansas(10/1/2025)
RR
California(5/10/2021)
IAR
California(9/18/2025)
RR
Colorado(5/10/2021)
IAR
Colorado(9/19/2025)
RR
Connecticut(5/10/2021)
IAR
Connecticut(9/19/2025)
RR
Delaware(5/10/2021)
IAR
Delaware(9/18/2025)
RR
District of Columbia(5/10/2021)
RR
Florida(5/10/2021)
IAR
Florida(9/26/2025)
RR
Georgia(5/10/2021)
IAR
Georgia(9/19/2025)
RR
Hawaii(5/10/2021)
IAR
Hawaii(9/22/2025)
RR
Idaho(5/10/2021)
IAR
Idaho(9/18/2025)
RR
Illinois(5/10/2021)
IAR
Illinois(5/24/2023)
RR
Indiana(5/10/2021)
IAR
Indiana(9/19/2025)
RR
Iowa(5/10/2021)
IAR
Iowa(9/19/2025)
RR
Kansas(5/10/2021)
IAR
Kansas(9/18/2025)
RR
Kentucky(5/10/2021)
IAR
Kentucky(9/23/2025)
RR
Louisiana(5/10/2021)
IAR
Louisiana(9/18/2025)
RR
Maine(5/10/2021)
IAR
Maine(9/19/2025)
RR
Maryland(5/10/2021)
IAR
Maryland(9/18/2025)
RR
Massachusetts(5/10/2021)
IAR
Massachusetts(11/7/2025)
RR
Michigan(5/10/2021)
IAR
Michigan(9/22/2025)
RR
Minnesota(5/10/2021)
IAR
Minnesota(9/25/2025)
RR
Mississippi(5/10/2021)
IAR
Mississippi(9/22/2025)
RR
Missouri(5/10/2021)
IAR
Missouri(9/18/2025)
RR
Montana(5/10/2021)
IAR
Montana(9/24/2025)
RR
Nebraska(5/10/2021)
IAR
Nebraska(9/18/2025)
RR
Nevada(5/10/2021)
IAR
Nevada(9/19/2025)
RR
New Hampshire(5/10/2021)
IAR
New Hampshire(9/19/2025)
RR
New Jersey(5/10/2021)
IAR
New Jersey(9/19/2025)
RR
New Mexico(5/10/2021)
IAR
New Mexico(9/19/2025)
RR
New York(5/10/2021)
IAR
New York(5/24/2023)
RR
North Carolina(5/12/2021)
IAR
North Carolina(9/19/2025)
RR
North Dakota(5/10/2021)
IAR
North Dakota(9/22/2025)
RR
Ohio(5/10/2021)
IAR
Ohio(9/18/2025)
RR
Oklahoma(5/10/2021)
IAR
Oklahoma(9/22/2025)
RR
Oregon(5/10/2021)
IAR
Oregon(10/21/2025)
RR
Pennsylvania(5/10/2021)
IAR
Pennsylvania(9/19/2025)
RR
Puerto Rico(5/10/2021)
RR
Rhode Island(5/10/2021)
IAR
Rhode Island(9/19/2025)
RR
South Carolina(5/10/2021)
IAR
South Carolina(9/23/2025)
RR
South Dakota(5/10/2021)
IAR
South Dakota(9/19/2025)
RR
Tennessee(5/10/2021)
RR
Texas(5/10/2021)
IAR
Texas(9/19/2025)
RR
Utah(5/10/2021)
IAR
Utah(9/18/2025)
RR
Vermont(5/10/2021)
IAR
Vermont(9/18/2025)
RR
Virgin Islands(7/31/2024)
IAR
Virgin Islands(9/19/2025)
RR
Virginia(5/10/2021)
IAR
Virginia(9/19/2025)
RR
Washington(5/10/2021)
IAR
Washington(9/18/2025)
RR
West Virginia(5/10/2021)
IAR
West Virginia(9/23/2025)
RR
Wisconsin(5/10/2021)
IAR
Wisconsin(9/23/2025)
RR
Wyoming(5/10/2021)
IAR
Wyoming(9/22/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/11/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 8/7/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product 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
Registered Investment Advisory firm - (4/20/2023 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
