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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

MICHAEL RICHARD ROSS

Advisor at JEFFERIES INVESTMENT ADVISERS LLC

NEW YORK, NY

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Search this name across graphsid dfx:ria:71565e30-e67d-8c14-68d7-8bf65855d618

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Oct 11, 2000 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: JEFFERIES INVESTMENT ADVISERS LLC
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 26, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 52
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Jun 26, 1998
First registration: Oct 11, 2000
Dual registered: yes, broker-dealer
Other names: MICHAEL RICHARD ROSS|ROSS RICHARD MICHAEL RICHARD
IAPD individual key: 3060211

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
JEFFERIES INVESTMENT ADVISERS LLC	Mixed wealth	May 24, 2023	n/a	yes	NEW YORK, NY	Current employment
LEUCADIA ASSET MANAGEMENT LLC	Asset manager	Nov 6, 2013	Aug 14, 2023	no	NEW YORK, NY	Previous registration
TOTAL ALIGNMENT WEALTH ADVISORS, LLC	State registered	Apr 11, 2013	Aug 14, 2013	no	NEW YORK, NY	Previous registration
LENOX ADVISORS, INC.	n/a	May 2, 2007	Dec 2, 2010	no	NEW YORK, NY	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	Apr 16, 2007	no	NEW YORK, NY\|NEW YORK, NY	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Oct 11, 2000	Jul 1, 2003	no	NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LEUCADIA ASSET MANAGEMENT LLC	JEFFERIES INVESTMENT ADVISERS LLC	Aug 14, 2023	May 24, 2023	-82	Bulk transfer	RIA to new firm
TOTAL ALIGNMENT WEALTH ADVISORS, LLC	LEUCADIA ASSET MANAGEMENT LLC	Aug 14, 2013	Nov 6, 2013	84	Firm change	Other
LENOX ADVISORS, INC.	TOTAL ALIGNMENT WEALTH ADVISORS, LLC	Dec 2, 2010	Apr 11, 2013	861	Firm change after gap	Other
WELLS FARGO ADVISORS	LENOX ADVISORS, INC.	Apr 16, 2007	May 2, 2007	16	Firm change	Other
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Relationships

Registered with (6)

→ JEFFERIES INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
May 24, 2023 to presentfactForm ADV
→ LEUCADIA ASSET MANAGEMENT LLCRegistered adviserregistration: previous registration
Nov 6, 2013 to Aug 14, 2023factForm ADV
→ TOTAL ALIGNMENT WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 11, 2013 to Aug 14, 2013factForm ADV
→ LENOX ADVISORS, INC.Registered adviserregistration: previous registration
May 2, 2007 to Dec 2, 2010factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 1, 2003 to Apr 16, 2007factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Oct 11, 2000 to Jul 1, 2003factForm ADV

Dated events

No dated event names this entity yet.