DT
Dominick Tavella
LEBENTHAL DIVERSIFIED ASSET MANAGEMENT
Hauppauge, NY 11788
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CRD#: 1069864
DT
Professional summary
Dominick Tavella, who also goes by Dom Tavella, is a registered financial advisor currently at LEBENTHAL DIVERSIFIED ASSET MANAGEMENT INC. located in Hauppauge, New York and LEBENTHAL GLOBAL ADVISORS, LLC located in Hauppauge, New York.
Dominick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Dominick has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dom Tavella
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) Licensed Independent Insurance Producer; Not Investment-Related; Life and Annuities. (2) Fox News; Unpaid Commentator; About 1 hour per week in this capacity. (3) Lebenthal Diversified Asset Management Inc.; Investment-Related; Hauppauge, NY; President, Owner, and Investment Adviser Representative. (4) Lebenthal Financial Services, Inc.; Investment-Related; Jericho, NY; Registered Representative. (5) Lebenthal Global Advisors, LLC; Investment-Related; Hauppauge, NY; President, Owner, and Investment Adviser Representative. (6) LMA Holding Group; Owner; New York Real Estate Holding Company. (7) Diversified Financial Consultants, Inc.; Principal Owner; Management Support Company. (8) The Lebenthal Report Podcast, investment-related, radio broadcast, Host, 1/12/2021, 4 hours a month after trading hours. (9) Mr. Tavella is the Managing Member of Lebenthal of SW Florida LLC, a management support company. (10) Mr. Tavella has an ownership interest in Olive Key Ventures, LLC, a real estate holding company. (11) Mr. Tavella has an ownership interest in Lebenthal Partners Corporate entity that owns the Lebenthal brand and trademark rights.
CRS (Client Relationship Summary) - RIA
Click below to view Dominick Tavella's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 24, 2016 - Present
LEBENTHAL DIVERSIFIED ASSET MANAGEMENT INC.
Office #1: 200 Parkway Drive South Suite 200, Hauppauge, NY 11788RIA
CRD#: 167243
Hauppauge, NY
Current
November 13, 2019 - Present
LEBENTHAL GLOBAL ADVISORS, LLC
Office #1: 200 Parkway Drive South Suite 200, Hauppauge, NY 11788RIA
CRD#: 283303
Hauppauge, NY
Current
January 17, 2014 - Present
LEBENTHAL FINANCIAL SERVICES, INC.
Office #1: 600 Bald Eagle Drive Suite 100, Marco Island, FL 34145BD
CRD#: 137988
Marco Island, FL
Past
December 20, 1993 - March 21, 1994
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
October 18, 1984 - December 23, 2013
INVESTACORP, INC.
BD
CRD#: 7684
BELLMORE, NY
Past
February 17, 1984 - May 21, 1984
STERLING SECURITIES, INC.
BD
CRD#: 11877
Past
October 21, 1982 - December 15, 1983
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LG
LEBENTHAL GLOBAL ADVISORS, LLC
LEBENTHAL GLOBAL ADVISORS, LLC | WEALTHSOURCE ADVISORY, LLC | RHINO WEALTH MANAGEMENT
CRD#: 283303 / SEC#: 801-110652
RIA
Registered Investment Advisory firm - (5/31/2017 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/17/2014)
RR
California(1/17/2014)
RR
Connecticut(1/17/2014)
RR
Florida(1/17/2014)
IAR
Florida(5/16/2022)
RR
Georgia(1/17/2014)
RR
Indiana(1/30/2014)
RR
Kansas(12/3/2019)
RR
Maryland(9/17/2014)
RR
Massachusetts(1/17/2014)
RR
Nevada(2/21/2014)
RR
New Jersey(1/17/2014)
RR
New Mexico(10/28/2019)
RR
New York(1/17/2014)
IAR
New York(7/29/2021)
RR
North Carolina(1/17/2014)
RR
Pennsylvania(1/17/2014)
RR
Puerto Rico(1/13/2020)
RR
South Carolina(1/17/2014)
IAR
Texas(2/24/2016)
RR
Virginia(1/17/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LG
LEBENTHAL GLOBAL ADVISORS, LLC
LEBENTHAL GLOBAL ADVISORS, LLC | WEALTHSOURCE ADVISORY, LLC | RHINO WEALTH MANAGEMENT
CRD#: 283303 / SEC#: 801-110652
RIA
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Contact information
Main Address
200 Parkway Drive South Suite 200, Hauppauge, NY 11788
Mailing Address
Phone number
(516) 785-1800
Established
Firm type
Fiscal year end
# of Employees
26
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,279 |
| AUM (Assets Under Management) | $ 819,985,389 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
