Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Barbara is a financial advisor with Jefferies Investment Advisers LLC. James has been a financial advisor since 1994 and has a broad range of experience in the industry. James holds the Series 63, 65, 7 and SIE licenses and is registered in over 50 states. James has experience working with individuals, businesses, pension and profit sharing plans. James provides financial planning and portfolio management services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
NY
05/24/2023 - Present
Jefferies Investment Advisers LLC (NEW YORK NY)
CA
10/28/2014 - 05/23/2023
CITY NATIONAL SECURITIES, INC. (Los Angeles CA)
CA
01/03/2011 - 10/17/2014
WELLS FARGO ADVISORS, LLC (EL SEGUNDO CA)
CA
08/19/2009 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (EL SEGUNDO CA)
CA
05/29/2007 - 08/31/2009
CITIGROUP GLOBAL MARKETS INC. (LOS ANGELES CA)
CA
12/08/2006 - 05/29/2007
CITICORP INVESTMENT SERVICES (LOS ANGELES CA)
NY
04/18/2006 - 08/17/2006
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NY
11/03/2005 - 08/14/2006
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
11/03/1994 - 12/02/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
IA
Issued 06/01/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/08/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/02/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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