Nicholas Cappello has been an investment adviser representative at Lebenthal Global Advisors since January 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.
- – present · 4 yearsHauppauge, NY · Adviser representative · Firm CRD 283303
Investment adviser representative registrations
Nicholas Cappello is registered as an investment adviser representative in New York, since January 2022.
- New YorkSince 3 January 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 27 December 2021 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 28 June 2011 |
| Series 7 | General Securities Representative Examination | 23 May 2011 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Nicholas Emanuel Cappello
- CRD
- 5868066
- Firm
- Lebenthal Global Advisors · CRD 283303
- Office
- 200 PARKWAY DRIVE SOUTH, SUITE 200, Hauppauge, NY 11788
- Registration
- Investment adviser and broker registrations
- In the industry since
- May 2011
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Nicholas Cappello work?
Nicholas Cappello is an investment adviser representative registered through Lebenthal Global Advisors, LLC since January 2022, and is not listed among the firm’s executive officers or direct owners.
Is Nicholas Cappello a financial advisor?
Yes. Nicholas Cappello has a current investment-adviser registration in New York, through Lebenthal Global Advisors since January 2022.
How many years of experience does Nicholas Cappello have?
Nicholas Cappello has 15 years in the financial industry, since May 2011, across 1 adviser firm.
What exams has Nicholas Cappello passed?
Nicholas Cappello has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in May 2011. FINRA credited Nicholas Cappello with the SIE, which began in October 2018.
Where is Nicholas Cappello based?
Nicholas Cappello’s registered office is in Hauppauge, NY.
Is Nicholas Cappello registered with FINRA?
Yes. Nicholas Cappello has a current broker registration, under CRD 5868066.
Source: FINRA BrokerCheck
How can I verify Nicholas Cappello’s record?
Search CRD 5868066 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Nicholas Cappello’s full registration record.