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Spencer Brolley James

Jefferies LLC

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About Spencer Brolley James

Spencer Brolley James is a broker currently registered with Jefferies LLC. Spencer has been in the industry for 3 years and is registered in 53 states as well as Puerto Rico and the Virgin Islands. Spencer was previously registered with William Blair in Chicago, Illinois for 3 years. Spencer holds the Series 63, 86, 87, 7TO, and SIE licenses.

Firm Information

Spencer James 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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Spencer James’s Registration & Firm History

NY

10/16/2023 - Present

Jefferies LLC (NEW YORK NY)

IL

07/21/2020 - 10/25/2023

WILLIAM BLAIR (CHICAGO IL)

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Licenses & Designations

BC

Issued 08/12/2020

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/09/2020

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 09/09/2020

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 07/21/2020

Series 7TO - General Securities Representative Examination

BC

Issued 06/23/2020

SIE - Securities Industry Essentials 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 Spencer Brolley James.
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