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Samuel Alexander Shpilberg

Jefferies LLC

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About Samuel Alexander Shpilberg

Samuel Alexander Shpilberg is a financial advisor who is active in the industry since July 4th, 1999. Samuel is currently registered with Jefferies LLC and has been with the firm since January 15th, 2013. Previously, Samuel was associated with UBS Securities LLC, Barclays Capital Inc., Lehman Brothers Inc., Knight Securities, L.P. and Goldman, Sachs & Co. Samuel holds Series 63, SIE, Series 79, Series 55, and Series 7 licenses. Samuel is registered in 52 states and jurisdictions.

Firm Information

Samuel Shpilberg 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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Samuel Shpilberg’s Registration & Firm History

CT

01/15/2013 - Present

Jefferies LLC (STAMFORD CT)

NY

09/02/2011 - 12/07/2012

UBS SECURITIES LLC (NEW YORK NY)

NY

09/19/2008 - 06/10/2011

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

06/05/2003 - 09/22/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

NJ

09/14/2000 - 12/14/2001

KNIGHT SECURITIES, L.P. (JERSEY CITY NJ)

NY

08/18/1997 - 08/16/2000

GOLDMAN, SACHS & CO. (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/02/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/16/2015

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 10/02/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 08/15/1997

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 Samuel Alexander Shpilberg.
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