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Current Employers
Lebenthal Global Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-09-26
NY RA APPROVED 2021-07-29
TX RA APPROVED_RES 2019-11-13
  • FL RA
    APPROVED
    Since 2024-09-26
  • NY RA
    APPROVED
    Since 2021-07-29
  • TX RA
    APPROVED_RES
    Since 2019-11-13

Branch Locations

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

Lebenthal Diversified Asset Management Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-07-29
TX RA APPROVED_RES 2016-02-24
  • NY RA
    APPROVED
    Since 2021-07-29
  • TX RA
    APPROVED_RES
    Since 2016-02-24

Branch Locations

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

Disclosures

1 disclosure category 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lebenthal Financial Services, Inc. Jericho NY 01/2014 Present
Lebenthal Diversified Asset Management Inc. Hauppauge NY 11/2011 Present
Lebenthal Global Advisors, Llc Hauppauge NY 05/2017 Present
Other Businesses

(1) Licensed Independent Insurance Producer; Not Investment-Related; Life and Annuities. (2) Fox News; Unpaid Commentator; About 1 hour per week in this capacity. (3) Lebenthal Diversified Asset Management Inc.; Investment-Related; Hauppauge, NY; President, Owner, and Investment Adviser Representative. (4) Lebenthal Financial Services, Inc.; Investment-Related; Jericho, NY; Registered Representative. (5) Lebenthal Global Advisors, LLC; Investment-Related; Hauppauge, NY; President, Owner, and Investment Adviser Representative. (6) LMA Holding Group; Owner; New York Real Estate Holding Company. (7) Diversified Financial Consultants, Inc.; Principal Owner; Management Support Company. (8) The Lebenthal Report Podcast, investment-related, radio broadcast, Host, 1/12/2021, 4 hours a month after trading hours. (9) Mr. Tavella is the Managing Member of Lebenthal of SW Florida LLC, a management support company. (10) Mr. Tavella has an ownership interest in Olive Key Ventures, LLC, a real estate holding company. (11) Mr. Tavella has an ownership interest in Lebenthal Partners Corporate entity that owns the Lebenthal brand and trademark rights.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-04-30
S63 Uniform Securities Agent State Law Examination 1993-07-14
  • S65 Uniform Investment Adviser Law Examination
    2012-04-30
  • S63 Uniform Securities Agent State Law Examination
    1993-07-14
Other Names
  • Dom Tavella

View on SEC IAPD

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