LL
Lionel Leventhal
LADENBURG THALMANN & CO.
New York, NY 10019
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CRD#: 1383612
LL
Professional summary
Lionel Leventhal is a registered financial professional currently at LADENBURG THALMANN & CO. INC. located in New York, New York.
Lionel is registered as a RR (Registered Representative) and started their career in finance in 2014. Lionel has worked at 3 firms and has passed the Series 63, SIE, Series 82 and Series 79 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Lionel Leventhal'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
October 13, 2017 - Present
LADENBURG THALMANN & CO. INC.
Office #1: 640 5th Avenue 4th Floor, New York, NY 10019BD
CRD#: 505
New York, NY
Past
May 8, 2017 - October 3, 2017
BRIDGE CAPITAL ASSOCIATES, INC.
BD
CRD#: 143475
New York, NY
Past
January 7, 2014 - May 2, 2017
HOULIHAN LOKEY CAPITAL, INC.
BD
CRD#: 17708
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(10/13/2017)
RR
California(10/13/2017)
RR
Colorado(10/13/2017)
RR
Connecticut(10/13/2017)
RR
Delaware(10/13/2017)
RR
District of Columbia(10/13/2017)
RR
Florida(10/13/2017)
RR
Georgia(10/13/2017)
RR
Illinois(10/13/2017)
RR
Kentucky(10/13/2017)
RR
Maryland(10/13/2017)
RR
Massachusetts(10/13/2017)
RR
Michigan(10/13/2017)
RR
Minnesota(10/13/2017)
RR
Nevada(10/13/2017)
RR
New Jersey(10/13/2017)
RR
New York(10/13/2017)
RR
North Carolina(10/13/2017)
RR
Ohio(10/13/2017)
RR
Pennsylvania(10/13/2017)
RR
Rhode Island(10/13/2017)
RR
Tennessee(10/13/2017)
RR
Texas(10/13/2017)
RR
Virginia(10/13/2017)
RR
Wisconsin(10/13/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LADENBURG THALMANN & CO. INC.
LADENBURG THALMANN & CO. INC. | LADENBURG, THALMANN & CO., INC.
CRD#: 505 / SEC#: , 8-17230
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
640 5th Avenue 4th Floor, New York, NY 10019
Mailing Address
640 5th Avenue 4th Floor, New York, NY 10019
Phone number
(212) 409-2000
Established
Delaware since 12/03/1971
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
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.
