Frank Ralph Loria

Current Employers

Lebenthal Global Advisors, Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-11-22

NY RA
APPROVED

Since 2021-11-22

Branch Locations

500 N. Broadway Suite 238, Jericho, NY 11753 • United States

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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Lebenthal Financial Services, Inc.	Jericho	NY	01/2013	Present
Lebenthal Global Advisors, Llc	Jericho	NY	04/2019	Present
Lebenthal Diversified Asset Management	Jericho	NY	11/2018	04/2019

01/2013 → Present

Lebenthal Financial Services, Inc.

Jericho, NY
04/2019 → Present

Lebenthal Global Advisors, Llc

Jericho, NY
11/2018 → 04/2019

Lebenthal Diversified Asset Management

Jericho, NY

Other Businesses

(1) Lebenthal Financial Services Inc.; Investment-Related; Jericho, NY; Registered Representative; Start Date: 03/2013. (2) Lebenthal Global Advisors, LLC; Investment-Related; Jericho, NY; Investment Adviser Representative; Start Date:04/2019. (3) Licensed Independent Insurance Producer; Life and Annuities.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-11-22
S63	Uniform Securities Agent State Law Examination	2013-06-04

S65 Uniform Investment Adviser Law Examination

2021-11-22
S63 Uniform Securities Agent State Law Examination

2013-06-04