Donato A. Moneta
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Donato Alfredo Moneta was a registered financial professional .
Donato is a previously registered financial professional and started their career in finance in 2020. Donato had worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2023 - July 14, 2026
MARINER WEALTH
July 29, 2021 - December 31, 2022
LEBENTHAL GLOBAL ADVISORS, LLC
June 8, 2020 - December 31, 2022
LEBENTHAL FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
MARINER WEALTH
CRD#: 140195 / SEC#: 801-66632
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 6/8/2020
General Securities Representative ExaminationCurrent Firm
MARINER WEALTH
CRD#: 140195 / SEC#: 801-66632
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 155,767 |
| AUM (Assets Under Management) | $ 98,603,233,201 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 11/19/2024 | ||
| 12/21/2023 |
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.
