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CS

Claudia J. Stern

LEBENTHAL GLOBAL ADVISORS
Charlotte, NC
Some features on this profile are disabled
CRD#: 1934135
CS

Professional summary

Claudia Jane Stern is a registered financial advisor currently at LEBENTHAL GLOBAL ADVISORS, LLC located in Charlotte, North Carolina.

Claudia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Claudia has worked at 7 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 31 and Series 7 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Claudia Jane Stern'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

July 24, 2022 - Present

LEBENTHAL GLOBAL ADVISORS, LLC

RIA
CRD#: 283303
Charlotte, NC
Past

May 2, 2016 - September 26, 2017

FUSION ANALYTICS INVESTMENT PARTNERS LLC

RIA
CRD#: 139321
CORAL SPRINGS, FL
Past

March 17, 2016 - December 31, 2016

FUSION ANALYTICS INVESTMENT PARTNERS LLC

RIA
CRD#: 139321
NEW YORK, NY
Past

March 10, 2016 - June 12, 2017

FUSION ANALYTICS SECURITIES LLC

BD
CRD#: 124245
New York, NY
Past

January 6, 2005 - March 8, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

December 17, 2004 - March 8, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 16, 1999 - January 11, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

June 29, 1993 - September 10, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

August 3, 1992 - February 26, 1993

TAGLICH BROTHERS, INC.

BD
CRD#: 29102
COLD SPRING HARBOR, NY
Past

March 21, 1989 - May 4, 1989

BERKELEY SECURITIES CORPORATION

BD
CRD#: 8397
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".
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.

Highlighted states indicate IAR registrations

IAR
North Carolina
(7/29/2022)
IAR
Texas
(7/24/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/22/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 4/4/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/4/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/12/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 4/28/1997
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 7/30/1992
General Securities Representative Examination

Current Firm

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)
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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
30

SEC notice filing (23 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

LEBENTHAL GLOBAL ADVISORS, LLC WRAP BROCHURE (3/12/2026)
LEBENTHAL GLOBAL ADVISORS, LLC DISCLOSURE BROCHURE (3/12/2026)

Regulatory assets under management

Total Number of Accounts3,546
AUM (Assets Under Management)$ 971,848,436

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.

Company Information

LEBENTHAL GLOBAL ADVISORS, LLC

CRD#: 283303Charlotte, NC

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