Frank Loria has been an investment adviser representative at Lebenthal Global Advisors since September 2019, 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.
- – present · 7 yearsJericho, NY · Adviser representative · Firm CRD 283303
Investment adviser representative registrations
Frank Loria is registered as an investment adviser representative in New York, since November 2021.
- New YorkSince 22 November 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 22 November 2021 |
| Series 24 | General Securities Principal Examination | 4 October 2018 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 25 July 2016 |
| Series 63 | Uniform Securities Agent State Law Examination | 4 June 2013 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 8 March 2013 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Frank Ralph Loria
- CRD
- 1409319
- Firm
- Lebenthal Global Advisors · CRD 283303
- Office
- 500 N. Broadway, Suite 238, Jericho, NY 11753
- Registration
- Investment adviser and broker registrations
- In the industry since
- March 2013
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Frank Loria work?
Frank Loria is an investment adviser representative registered through Lebenthal Global Advisors, LLC since September 2019, and is not listed among the firm’s executive officers or direct owners.
Is Frank Loria a financial advisor?
Yes. Frank Loria has a current investment-adviser registration in New York, through Lebenthal Global Advisors since September 2019.
How many years of experience does Frank Loria have?
Frank Loria has 13 years in the financial industry, since March 2013, across 1 adviser firm.
What exams has Frank Loria passed?
Frank Loria has passed 5 licensing exams: the Series 6, Series 63, Series 7, Series 24 and Series 65. The earliest, the Series 6, was passed in March 2013. FINRA credited Frank Loria with the SIE, which began in October 2018.
Where is Frank Loria based?
Frank Loria’s registered office is in Jericho, NY.
Is Frank Loria registered with FINRA?
Yes. Frank Loria has a current broker registration, under CRD 1409319.
Source: FINRA BrokerCheck
How can I verify Frank Loria’s record?
Search CRD 1409319 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Frank Loria’s full registration record.