Scott M. Hartzman

LEBENTHAL GLOBAL ADVISORS

JERICHO, NY 11753

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CRD#: 6667250

Professional summary

Scott Matthew Hartzman 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.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Scott has worked at 2 firms and has passed the Series 63, Series 65, Series 7TO and SIE 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.

ExploreStore, LLC CoFounder Not Investment-related 393 Old Country Rd, Carle Place, NY 11514 Online Retail store Company was started in January 2021 I devote approx. 5 hours a week to the business. 0 hours during trading hours. I manage the entire company along with marketing and sales with my business partner.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Matthew Hartzman'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

August 23, 2021 - Present

LEBENTHAL GLOBAL ADVISORS, LLC

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

RIA

CRD#: 283303

JERICHO, NY

Current

April 16, 2024 - Present

LEBENTHAL FINANCIAL SERVICES, INC.

Office #1: 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
(11/25/2024)

Florida
(8/5/2025)

Maryland
(9/24/2025)

IAR

New York
(8/23/2021)

New York
(11/25/2024)

Pennsylvania
(4/17/2025)

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

Series 63

Date: 11/22/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/12/2021

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/16/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/16/2020

Securities Industry Essentials 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

Scott M. Hartzman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Matthew Hartzman'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 63

Date: 11/22/2024

Series 65

Date: 8/12/2021

Series 7TO

Date: 4/16/2024

SIE

Date: 7/16/2020

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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