Claudia Jane Stern

Current Employers

Lebenthal Global Advisors, Llc

200 Parkway Drive South Suite 200, Hauppauge, NY 11788 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2022-07-29
TX	RA	APPROVED	2022-07-24

NC RA
APPROVED

Since 2022-07-29
TX RA
APPROVED

Since 2022-07-24

Branch Locations

Charlotte, NC • United States

200 Parkway Drive South Suite 200, Hauppauge, NY 11788 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Fusion Analytics Securities Llc	New York	NY	03/2016	09/2017
Lebenthal Global Advisors, Llc	Charlotte	NC	01/2020	Present
Avenir Private Advisors	New York	NY	05/2019	01/2020
Unemployed	New York	NY	10/2017	04/2019

03/2016 → 09/2017

Fusion Analytics Securities Llc

New York, NY
01/2020 → Present

Lebenthal Global Advisors, Llc

Charlotte, NC
05/2019 → 01/2020

Avenir Private Advisors

New York, NY
10/2017 → 04/2019

Unemployed

New York, NY

Previous Registrations

2016-05-02 → 2017-09-26

Fusion Analytics Investment Partners Llc

Coral Springs, FL
2016-03-17 → 2016-12-31

Fusion Analytics Investment Partners Llc

Coral Springs, FL
2005-01-06 → 2016-03-08

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2022-07-22
S66	Uniform Combined State Law Examination	2005-04-04
S63	Uniform Securities Agent State Law Examination	1992-09-04

S65 Uniform Investment Adviser Law Examination

2022-07-22
S66 Uniform Combined State Law Examination

2005-04-04
S63 Uniform Securities Agent State Law Examination

1992-09-04