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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

Harold Batlle

Advisor at JEFFERIES INVESTMENT ADVISERS LLC

Miami, FL | NEW YORK, NY

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Search this name across graphsid dfx:ria:f538efae-9ac8-577a-2620-093d9814da02

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 6, 2000 to Sep 15, 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 7, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 52
Exams: S66|S63
First exam: Jun 7, 1999
First registration: Jun 6, 2000
Dual registered: yes, broker-dealer
Other names: Harold Nabor Batlle
IAPD individual key: 3110824

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	Jul 15, 2025	n/a	yes	NEW YORK, NY\|Miami, FL	Current employment
MORGAN STANLEY	Wirehouse	Aug 27, 2019	Jul 11, 2025	no	Miami, FL\|Miami, FL\|Miami, FL\|Miami, FL\|MIami, FL\|Miami, FL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Aug 20, 2009	Aug 26, 2019	no	Miami, FL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Nov 18, 2002	Mar 27, 2008	no	MIAMI, FL\|MIAMI, FL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jun 6, 2000	Nov 5, 2002	no	MIAMI, FL	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
MORGAN STANLEY	JEFFERIES INVESTMENT ADVISERS LLC	Jul 11, 2025	Jul 15, 2025	4	Firm change	Wirehouse to ibd
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Aug 26, 2019	Aug 27, 2019	1	Firm change	Ibd to wirehouse
WELLS FARGO ADVISORS	CITIGROUP GLOBAL MARKETS INC.	Mar 27, 2008	Aug 20, 2009	511	Firm change after gap	Other
UBS FINANCIAL SERVICES INC.	WELLS FARGO ADVISORS	Nov 5, 2002	Nov 18, 2002	13	Firm change	Wirehouse to wirehouse

Relationships

Registered with (5)

→ JEFFERIES INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jul 15, 2025 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Aug 27, 2019 to Jul 11, 2025factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Aug 20, 2009 to Aug 26, 2019factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Nov 18, 2002 to Mar 27, 2008factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jun 6, 2000 to Nov 5, 2002factForm ADV

Dated events

Occurred
Jul 11, 2025
Advisor changed firm
Harold Batlle left Morgan Stanley for Jefferies Investment Advisers Llc (registered 2025-07-15)
Form ADVobserved 5 days ago