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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

ALAN I WOLBERG

Advisor at JEFFERIES INVESTMENT ADVISERS LLC

NEW YORK, NY

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Search this name across graphsid dfx:ria:75a868eb-d27e-39a2-56e1-3237c0e5a6e9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Oct 25, 2010 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: Sep 24, 1990earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 52
Exams: S63|S65
First exam: Sep 24, 1990
First registration: Oct 25, 2010
Dual registered: yes, broker-dealer
IAPD individual key: 2093914

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 30, 2022	Aug 14, 2023	no	NEW YORK, NY	Previous registration
RBC SECURITIES, INC.	Bd affiliated wealth	Jun 5, 2015	Nov 28, 2022	no	NEW YORK, NY\|LOS ANGELES, CA\|Los Angeles, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 23, 2015	Apr 6, 2015	no	BOSTON, MA	Previous registration
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC	Former SEC adviser	Oct 4, 2012	Feb 25, 2015	no	SAN FRANCISCO, CA	Previous registration
MORGAN STANLEY	Wirehouse	Oct 25, 2010	Jan 27, 2012	no	PURCHASE, 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
RBC SECURITIES, INC.	LEUCADIA ASSET MANAGEMENT LLC	Nov 28, 2022	Nov 30, 2022	2	Firm change	RIA to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	RBC SECURITIES, INC.	Apr 6, 2015	Jun 5, 2015	60	Firm change	Other
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Feb 25, 2015	Mar 23, 2015	26	Firm change	Other
MORGAN STANLEY	J.P. MORGAN PRIVATE WEALTH ADVISORS LLC	Jan 27, 2012	Oct 4, 2012	251	Firm change	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 30, 2022 to Aug 14, 2023factForm ADV
→ RBC SECURITIES, INC.Registered adviserregistration: previous registration
Jun 5, 2015 to Nov 28, 2022factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 23, 2015 to Apr 6, 2015factForm ADV
→ J.P. MORGAN PRIVATE WEALTH ADVISORS LLCRegistered adviserregistration: previous registration
Oct 4, 2012 to Feb 25, 2015factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Oct 25, 2010 to Jan 27, 2012factForm ADV

Dated events

Occurred
Nov 28, 2022
Advisor changed firm
Alan I Wolberg left Rbc Securities, Inc. for Leucadia Asset Management Llc (registered 2022-11-30)
Form ADVobserved 5 days ago