Frank R. Loria

LEBENTHAL GLOBAL ADVISORS

Jericho, NY 11753

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CRD#: 1409319

Professional summary

Frank Ralph Loria is a registered financial advisor currently at LEBENTHAL GLOBAL ADVISORS, LLC located in Jericho, New York and LEBENTHAL FINANCIAL SERVICES, INC. located in Jericho, New York.

Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Frank has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 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) Lebenthal Financial Services Inc.; Investment-Related; Jericho, NY; Registered Representative; Start Date: 03/2013. (2) Lebenthal Global Advisors, LLC; Investment-Related; Jericho, NY; Investment Adviser Representative; Start Date:04/2019. (3) Licensed Independent Insurance Producer; Life and Annuities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Ralph Loria's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 11, 2019 - Present

LEBENTHAL GLOBAL ADVISORS, LLC

Office #1: 500 N. Broadway Suite 238, Jericho, NY 11753

RIA

CRD#: 283303

Jericho, NY

Current

March 11, 2013 - Present

LEBENTHAL FINANCIAL SERVICES, INC.

Office #1: 500 N. Broadway Suite 238, Jericho, NY 11753Office #2: 500 N. Broadway Suite 238, Jericho, NY 11753

CRD#: 137988

Jericho, 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".

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.

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

California
(9/8/2016)

Connecticut
(4/15/2016)

Florida
(6/12/2019)

Georgia
(3/21/2017)

New Jersey
(11/19/2015)

New York
(6/5/2013)

IAR

New York
(11/22/2021)

Ohio
(1/18/2024)

Oklahoma
(10/3/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/22/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/4/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/25/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/8/2013

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/4/2018

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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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

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LEBENTHAL GLOBAL ADVISORS, LLC WRAP BROCHURE (2/25/2025)

LEBENTHAL GLOBAL ADVISORS, LLC DISCLOSURE BROCHURE (2/25/2025)

Regulatory assets under management

Total Number of Accounts	3,279
AUM (Assets Under Management)	$ 819,985,389

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.

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Advisor Monitoring

Firm Stability Insights

Frank R. Loria

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Ralph Loria's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEBENTHAL FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

LEBENTHAL GLOBAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/22/2021

Series 63

Date: 6/4/2013

SIE

Date: 10/1/2018

Series 7

Date: 7/25/2016

Series 6

Date: 3/8/2013

Series 24

Date: 10/4/2018

FINRA

Current Firm

LEBENTHAL GLOBAL ADVISORS, LLC

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEBENTHAL GLOBAL ADVISORS, LLC

TRUST BUT VERIFY

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