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James Robert Palen

Jefferies LLC

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About James Robert Palen

James Palen is a financial professional with over 25 years of experience in the industry. James is currently a registered representative with Jefferies LLC and has held previous positions with Credit Suisse Securities (USA) LLC, Guggenheim Securities, LLC, and Bear, Stearns & Co. Inc. James is licensed in all 50 states and the District of Columbia. James holds the Series 7, Series 63, Series 79TO, and SIE licenses.

Firm Information

James Palen is currently registered with Jefferies LLC. Jefferies LLC is a Limited Liability Company formed on March 1, 2013, operating in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They are approved by the SEC and hold active registrations in all 53 jurisdictions.

Not reported

Assets Under Management

Not reported

Total Clients

446

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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James Palen’s Registration & Firm History

CT

12/14/2009 - Present

Jefferies LLC (STAMFORD CT)

CT

12/14/2009 - 01/27/2010

JEFFERIES HIGH YIELD TRADING, LLC (STAMFORD CT)

NY

04/03/2009 - 01/27/2010

GUGGENHEIM SECURITIES, LLC (NEW YORK NY)

NY

04/06/2006 - 02/23/2009

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

CT

12/08/2003 - 03/27/2006

PURSUIT PARTNERS LLC (GREENWICH CT)

NY

01/26/2000 - 11/21/2003

CREDIT SUISSE FIRST BOSTON LLC (NEW YORK NY)

NY

12/10/1997 - 01/18/2000

BEAR, STEARNS & CO. INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/31/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/09/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There are no public disclosures for James Robert Palen.
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