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DAVID BRIAN GROSS
GROSS BRIAN DAVID BRIAN
CRD#: 1173407
IA
Investment Adviser
B
Broker
JEFFERIES INVESTMENT ADVISERS LLCCRD#: 325421 155 North Wacker Drive
Chicago, IL 60606
JEFFERIES LLCCRD#: 2347 Chicago, IL
Registration History
1985199019952000200520102015202020252 FIRMS2009 - 2011 (1 year)IAJEFFERIES INVESTMENT ADVISERS LLC (CRD# 325421)2023 - Present (1 year)BJEFFERIES LLC (CRD# 2347)2011 - Present (13 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2004 - 2009 (5 years)BROBERT W. BAIRD & CO. INCORPORATED (CRD# 8158)2004 - 2004 (<1 year)BMCDONALD INVESTMENTS INC. (CRD# 566)2003 - 2003 (<1 year)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2000 - 2003 (3 years)BSCHRODER & CO. INC. (CRD# 6112)1995 - 2000 (5 years)BCS FIRST BOSTON CORPORATION (CRD# 816)1988 - 1995 (7 years)BL. F. ROTHSCHILD & CO. INCORPO... (CRD# 501)1987 - 1988 (<1 year)BSHEARSON LEHMAN BROTHERS INC. (CRD# 7506)1984 - 1987 (3 years)BMESIROW & COMPANY, INCORPORATED (CRD# 2764)1983 - 1984 (1 year)IALEUCADIA ASSET MANAGEMENT LLC (CRD# 121767)2011 - 2023 (12 years)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2005 - 2009 (4 years)
Disclosure(s)
View By:
1/1/2001
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 3/21/2019

B
Nebraska 3/22/2019

B
Alaska 3/21/2019

B
Nevada 4/3/2019

B
Arizona 3/23/2011

B
New Hampshire 3/22/2019

B
Arkansas 3/25/2019

B
New Jersey 3/20/2019

B
California 3/23/2011

B
New Mexico 3/21/2019

B
Colorado 1/8/2019

B
New York 3/23/2011

B
Connecticut 3/23/2011

IA
New York 6/6/2023

B
Delaware 3/26/2019

B
North Carolina 3/21/2019

B
District of Columbia 3/22/2019

B
North Dakota 3/20/2019

B
Florida 3/23/2011

B
Ohio 3/21/2019

B
Georgia 3/23/2011

B
Oklahoma 3/21/2019

B
Hawaii 4/26/2019

B
Oregon 4/1/2019

B
Idaho 3/20/2019

B
Pennsylvania 3/25/2019

B
Illinois 3/23/2011

B
Puerto Rico 3/27/2019

IA
Illinois 6/2/2023

B
Rhode Island 3/23/2011

B
Indiana 3/24/2011

B
South Carolina 3/22/2019

B
Iowa 3/29/2019

B
South Dakota 3/29/2019

B
Kansas 3/22/2019

B
Tennessee 3/23/2011

B
Kentucky 3/22/2019

B
Texas 3/22/2019

B
Louisiana 3/21/2019

B
Utah 3/21/2019

B
Maine 3/21/2019

B
Vermont 3/21/2019

B
Maryland 3/23/2011

B
Virgin Islands 7/31/2024

B
Massachusetts 3/21/2019

B
Virginia 3/20/2019

B
Michigan 3/23/2011

B
Washington 3/23/2011

B
Minnesota 3/21/2019

B
West Virginia 4/8/2019

B
Mississippi 3/21/2019

B
Wisconsin 3/21/2019

B
Missouri 3/25/2019

B
Wyoming 3/26/2019

B
Montana 3/21/2019

SRO Registrations

B
BOX Exchange LLC

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe C2 Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Investors' Exchange LLC

B
Long-Term Stock Exchange, Inc.

B
MEMX LLC

B
MIAX Emerald, LLC

B
MIAX PEARL, LLC

B
MIAX Sapphire

B
Miami International Securities Exchange, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
NYSE National, Inc.

B
Nasdaq BX, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq MRX, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
JEFFERIES INVESTMENT ADVISERS LLC (CRD#:325421)
155 North Wacker Drive, Chicago, IL 60606
Registered with this firm since 6/2/2023

B
JEFFERIES LLC (CRD#:2347)
Chicago, IL
Registered with this firm since 3/23/2011

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/23/2011 - 08/14/2023 LEUCADIA ASSET MANAGEMENT LLC (CRD#:121767) CHICAGO, IL
IA
10/23/2009 - 03/10/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHICAGO, IL
B
10/23/2009 - 03/10/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHICAGO, IL
IA
07/07/2005 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) CHICAGO, IL
B
02/20/2004 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) CHICAGO, IL
B
02/02/2004 - 02/04/2004 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) MILWAUKEE, WI
B
07/14/2003 - 12/19/2003 MCDONALD INVESTMENTS INC. (CRD#:566) CLEVELAND, OH
B
05/27/2000 - 07/25/2003 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
05/31/1995 - 05/27/2000 SCHRODER & CO. INC. (CRD#:6112) NEW YORK, NY
B
03/30/1988 - 06/01/1995 CS FIRST BOSTON CORPORATION (CRD#:816) NEW YORK, NY
B
07/30/1987 - 04/14/1988 L. F. ROTHSCHILD & CO. INCORPORATED (CRD#:501)
B
08/20/1984 - 08/13/1987 SHEARSON LEHMAN BROTHERS INC. (CRD#:7506)
B
08/20/1983 - 08/09/1984 MESIROW & COMPANY, INCORPORATED (CRD#:2764)
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.