PL
Peggy E. Lebert
FIRST MANHATTAN CO. LLC
The Woodlands, TX
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CRD#: 1082302
PL
Professional summary
Peggy Elaine Lebert is a registered financial advisor currently at FIRST MANHATTAN CO. LLC located in The Woodlands, Texas and FIRST MANHATTAN SECURITIES LLC located in New York, New York.
Peggy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Peggy has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 14, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) Bates Group, LLC - not investment-related - HQ: Portalnd, OR - regulatory consultancy - compliance - Independent Contractor as of 8/5/2021 - 2 to 5 hours/mo.; no time during trading hours - Regulatory compliance projects not involving supervision
CRS (Client Relationship Summary) - RIA
Click below to view Peggy Elaine Lebert'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 16, 2023 - Present
FIRST MANHATTAN CO. LLC
RIA
CRD#: 325281
The Woodlands, TX
Current
October 8, 2021 - Present
FIRST MANHATTAN SECURITIES LLC
Office #1: 399 Park Avenue, New York, NY 10022BD
CRD#: 1845
New York, NY
Past
October 8, 2021 - March 10, 2023
FIRST MANHATTAN SECURITIES LLC
RIA
CRD#: 1845
New York, NY
Past
September 25, 2020 - March 30, 2021
R.M. STARK & CO., INC.
BD
CRD#: 7612
LAKE WORTH BEACH, FL
Past
January 14, 2013 - May 5, 2020
AVALON WEALTH MANAGEMENT LLC
BD
CRD#: 162745
HOUSTON, TX
Past
December 21, 1982 - November 29, 2011
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
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".
FM
FIRST MANHATTAN CO. LLC
FIRST MANHATTAN CO. LLC
CRD#: 325281 / SEC#: 801-12411
RIA
Registered Investment Advisory firm - (1/13/1977 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
Alabama(9/14/2022)
RR
Alaska(9/14/2022)
RR
Arizona(9/14/2022)
RR
Arkansas(9/14/2022)
RR
California(9/14/2022)
RR
Colorado(9/14/2022)
RR
Connecticut(9/14/2022)
RR
Delaware(9/14/2022)
RR
District of Columbia(9/14/2022)
RR
Florida(9/14/2022)
RR
Georgia(9/14/2022)
RR
Hawaii(9/14/2022)
RR
Idaho(9/14/2022)
RR
Illinois(9/14/2022)
RR
Indiana(9/14/2022)
RR
Iowa(9/14/2022)
RR
Kansas(9/14/2022)
RR
Kentucky(9/14/2022)
RR
Louisiana(9/14/2022)
RR
Maine(9/14/2022)
RR
Maryland(9/14/2022)
RR
Massachusetts(9/14/2022)
RR
Michigan(9/14/2022)
RR
Minnesota(9/14/2022)
RR
Mississippi(9/14/2022)
RR
Missouri(9/14/2022)
RR
Montana(9/14/2022)
RR
Nebraska(9/14/2022)
RR
Nevada(9/14/2022)
RR
New Hampshire(9/14/2022)
RR
New Jersey(9/14/2022)
RR
New Mexico(9/14/2022)
RR
New York(10/8/2021)
IAR
New York(2/16/2023)
RR
North Carolina(9/14/2022)
RR
North Dakota(9/14/2022)
RR
Ohio(9/14/2022)
RR
Oklahoma(9/14/2022)
RR
Oregon(9/14/2022)
RR
Pennsylvania(9/14/2022)
RR
Rhode Island(9/14/2022)
RR
South Carolina(9/14/2022)
RR
South Dakota(9/14/2022)
RR
Tennessee(9/14/2022)
RR
Texas(10/8/2021)
RR
Utah(9/14/2022)
RR
Vermont(9/14/2022)
RR
Virginia(9/14/2022)
RR
Washington(9/14/2022)
RR
West Virginia(9/14/2022)
RR
Wisconsin(9/14/2022)
RR
Wyoming(9/14/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/30/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 3/25/1986
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
FM
FIRST MANHATTAN CO. LLC
FIRST MANHATTAN CO. LLC
CRD#: 325281 / SEC#: 801-12411
RIA
Registered Investment Advisory firm - (1/13/1977 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
399 Park Avenue, New York, NY 10022
Mailing Address
Phone number
(212) 756-3300
Established
Firm type
Fiscal year end
# of Employees
132
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,722 |
| AUM (Assets Under Management) | $ 34,439,571,092 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/25/2024 | ||
| 11/28/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
