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James William Johnson

Jefferies LLC

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About James William Johnson

James William Johnson has been in the financial services industry since February 4, 1991. Currently, James is registered with Jefferies LLC and has been there since June 3, 2020. James previously worked at Citigroup Global Markets Inc. and DB Alex. Brown LLC. James holds the following licenses: Series 3, Series 7, Series 52TO, Series 53, Series 79TO, and SIE.

Firm Information

James Johnson 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 Johnson’s Registration & Firm History

NY

06/03/2020 - Present

Jefferies LLC (NEW YORK NY)

NY

01/29/2002 - 02/21/2020

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

MD

09/01/1997 - 10/20/2000

DB ALEX. BROWN LLC (BALTIMORE MD)

NA

07/18/1989 - 09/01/1997

ALEX. BROWN & SONS INCORPORATED

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Licenses & Designations

BC

Issued 12/15/2011

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative 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 08/08/1991

Series 3 - National Commodity Futures Examination

BC

Issued 07/15/1989

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 William Johnson.
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