Nicholas E. Cappello

LEBENTHAL GLOBAL ADVISORS

Hauppauge, NY 11788

Some features on this profile are disabled

CRD#: 5868066

Professional summary

Nicholas Emanuel Cappello, who also goes by Nicholas Emanuel Capello, Nick Cappello, is a registered financial advisor currently at LEBENTHAL GLOBAL ADVISORS, LLC located in Hauppauge, New York and LEBENTHAL FINANCIAL SERVICES, INC. located in Hauppauge, New York.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Nicholas has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas Emanuel Capello | Nick Cappello

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: 07/2012. (2) Lebenthal Global Advisors, LLC; Investment-Related; Hauppauge, NY; Investment Adviser Representative; Start Date: 04/2019. (3) Lebenthal Diversified Asset Management; Investment-Related; Hauppauge, NY; Head Trader; Start Date: 01/2015

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Emanuel Cappello'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

January 3, 2022 - Present

LEBENTHAL GLOBAL ADVISORS, LLC

Office #1: 200 Parkway Drive South Suite 200, Hauppauge, NY 11788

RIA

CRD#: 283303

Hauppauge, NY

Current

July 6, 2012 - Present

LEBENTHAL FINANCIAL SERVICES, INC.

Office #1: 200 Parkway Drive South Suite 200, Hauppauge, NY 11788

CRD#: 137988

Hauppauge, NY

Past

May 24, 2011 - June 29, 2012

INVESTACORP, INC.

CRD#: 7684

MIAMI, FL

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

New York
(7/6/2012)

IAR

New York
(1/3/2022)

Pennsylvania
(4/30/2013)

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: 12/27/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/28/2011

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: 5/23/2011

General Securities Representative 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Randy Brickman

PARK AVENUE SECURITIES LLC

IAR

NORTH WOODMERE, NY

Harlan Fischer

CETERA INVESTMENT ADVISERS LLC

IAR

SETAUKET, NY

Gregory Harris

PFS INVESTMENTS INC.

Farmingdale, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nicholas E. Cappello

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Emanuel Cappello's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEBENTHAL FINANCIAL SERVICES, INC.

INVESTACORP, INC.

Primary Firm SEC Registration

LEBENTHAL GLOBAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/27/2021

Series 63

Date: 6/28/2011

SIE

Date: 10/1/2018

Series 7

Date: 5/23/2011

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

Similar Advisors