Michael A. Hartzman
LEBENTHAL GLOBAL ADVISORS
Jericho, NY 11753
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CRD#: 2216133
Professional summary
Michael Avery Hartzman, CFP® 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.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Michael has worked at 6 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 53, Series 24 and Series 4 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.) PRESIDENT OF BRISTOL ASSET MANAGEMENT CORP, 500 N. BROADWAY, SUITE 238, JERICHO, NY 11753; AN RIA REGISTERED WITH THE STATE OF NEW YORK. 2) Crump Life Insurance Agent, investment related, 105 Maxess Road, Suite 301, Melville, NY 1174, life insurance, Start date 2006, 10 hours a month, 30 min a day during trading hours. 3) Lebenthal Partners LLC, 37.5% owner less then one hour a week. 4) Michael as a 49% owner of Lebenthal Global Advisors has entered into an agreement with interactive brokerage to serve as a clearing partner for LGA 5) The Lebenthal Report Podcast, not investment related, radio broadcast, Host, 1/12/2021, 4 hours a month after trading hours
CRS (Client Relationship Summary) - RIA
Click below to view Michael Avery Hartzman'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®
CFP®
Start date: 2004
Experience
Current
November 19, 2019 - Present
LEBENTHAL GLOBAL ADVISORS, LLC
Office #1: 500 N. Broadway Suite 238, Jericho, NY 11753RIA
CRD#: 283303
Jericho, NY
Current
May 1, 2006 - Present
LEBENTHAL FINANCIAL SERVICES, INC.
Office #1: 500 N. Broadway Suite 238, Jericho, NY 11753Office #2: 500 N. Broadway Suite 238, Jericho, NY 11753BD
CRD#: 137988
Jericho, NY
Past
October 14, 1996 - December 31, 2008
NORTHEAST SECURITIES, LLC
BD
CRD#: 25996
PLAINVIEW, NY
Past
October 28, 1992 - October 22, 1996
JARON EQUITIES CORP.
BD
CRD#: 5764
HICKSVILLE, NY
Past
September 2, 1992 - October 29, 1992
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
May 11, 1992 - September 1, 1992
KINGLAND CAPITAL CORPORATION
BD
CRD#: 16341
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(4/10/2013)
RR
California(1/17/2007)
RR
Colorado(5/11/2017)
RR
Connecticut(2/8/2007)
RR
District of Columbia(2/9/2007)
RR
Florida(2/7/2007)
RR
Georgia(2/6/2007)
RR
Hawaii(4/9/2007)
RR
Illinois(4/22/2013)
RR
Indiana(4/18/2013)
RR
Kentucky(8/23/2016)
RR
Maine(1/21/2010)
RR
Maryland(1/26/2007)
RR
Massachusetts(1/18/2007)
RR
Nevada(11/16/2018)
RR
New Jersey(10/19/2006)
IAR
New Jersey(11/19/2019)
RR
New York(5/9/2006)
IAR
New York(7/29/2021)
RR
North Carolina(1/19/2007)
RR
Oregon(2/4/2021)
RR
Pennsylvania(1/19/2007)
RR
Puerto Rico(8/30/2013)
RR
Rhode Island(1/31/2007)
RR
South Carolina(1/14/2008)
RR
South Dakota(3/18/2025)
RR
Texas(8/14/2012)
IAR
Texas(11/19/2019)
RR
Utah(5/1/2025)
RR
Vermont(8/22/2008)
RR
Virginia(1/18/2007)
RR
Washington(4/20/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
