Claudia Stern has been an investment adviser representative at Lebenthal Global Advisors since July 2022, and is not listed among the firm’s executive officers or direct owners.
Lebenthal Global Advisors, LLC is a Hauppauge, NY firm with $972M under management, 2,465 clients and 27 advisers across 11 offices, as of its March 2026 filing.
Claudia Stern’s longest registration was 11 years at Merrill Lynch, Pierce, Fenner & Smith Incorporated (2005–2016). Before joining Lebenthal Global Advisors in 2022, Claudia Stern was registered through Fusion Analytics Investment Partners LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
- – present · 4 yearsCharlotte, NC · Adviser representative · Firm CRD 283303
- Fusion Analytics Investment Partners LLC– · 1 yearCoral Springs, FL · Adviser representative · Firm CRD 139321
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 11 yearsNew York, NY · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
Claudia Stern is registered as an investment adviser representative in 2 states. Each was approved in July 2022.
- North CarolinaSince 29 July 2022
- TexasSince 24 July 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 22 July 2022 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 4 April 2005 |
| Series 31 | Futures Managed Funds Examination | 28 April 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 4 September 1992 |
| Series 7 | General Securities Representative Examination | 30 July 1992 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Claudia Jane Stern
- CRD
- 1934135
- Firm
- Lebenthal Global Advisors · CRD 283303
- Office
- Charlotte, NC
- Registration
- Investment adviser registration
- In the industry since
- August 1997
- Disciplinary history
- Not yet shown here · SEC record
Where does Claudia Stern work?
Claudia Stern is an investment adviser representative registered through Lebenthal Global Advisors, LLC since July 2022, and is not listed among the firm’s executive officers or direct owners.
Is Claudia Stern a financial advisor?
Yes. Claudia Stern has a current investment-adviser registration in North Carolina and Texas, through Lebenthal Global Advisors since July 2022.
How many years of experience does Claudia Stern have?
Claudia Stern has 29 years in the financial industry, since August 1997, across 3 adviser firms.
What exams has Claudia Stern passed?
Claudia Stern has passed 5 licensing exams: the Series 7, Series 63, Series 31, Series 66 and Series 65. The earliest, the Series 7, was passed in July 1992. FINRA credited Claudia Stern with the SIE, which began in October 2018.
Where did Claudia Stern work before Lebenthal Global Advisors?
Before Lebenthal Global Advisors, Claudia Stern was registered through Fusion Analytics Investment Partners LLC, March 2016 to September 2017; Merrill Lynch, Pierce, Fenner & Smith Incorporated, January 2005 to March 2016.
Where is Claudia Stern based?
Claudia Stern’s registered office is in Charlotte, NC.
Is Claudia Stern registered with FINRA?
No. Claudia Stern has no current broker registration.
How can I verify Claudia Stern’s record?
Search CRD 1934135 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Claudia Stern’s full registration record.