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Richard S Dubord

Jefferies LLC

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About Richard S Dubord

Richard Dubord is a financial professional with over 12 years of experience in the industry. Richard is currently registered with Jefferies LLC and holds Series 7, 7TO, 57TO, 63 and 66 licenses. Previously Richard worked at Barclays Capital Inc. Richard is registered to conduct business in all states and territories.

Firm Information

Richard Dubord 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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Richard Dubord’s Registration & Firm History

IL

01/24/2023 - Present

Jefferies LLC (CHICAGO IL)

NY

12/21/2010 - 08/21/2013

BARCLAYS CAPITAL INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/19/2022

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 04/07/2011

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/14/2023

Series 7TO - General Securities Representative Examination

BC

Issued 01/23/2023

Series 57TO - Securities Trader Exam

BC

Issued 12/20/2010

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 Richard S Dubord.
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