Thomas Katovitz has been Chief Compliance of Lebenthal Global Advisors since February 2016, is a control person of the firm and directly owns under 5% of it.
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 · 5 yearsHauppauge, NY · Adviser representative · Firm CRD 283303
Investment adviser representative registrations
Thomas Katovitz is registered as an investment adviser representative in New York, since July 2021.
- New YorkSince 31 July 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 57TO | Securities Trader Exam | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 55 | Limited Representative-Equity Trader Exam | 24 May 1999 |
| Series 24 | General Securities Principal Examination | 17 November 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 27 February 1984 |
| Series 7 | General Securities Representative Examination | 17 December 1983 |
- Name
- Securities Trader Exam
- Name
- Securities Industry Essentials Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Thomas Francis Katovitz
- CRD
- 1136616
- Firm
- Lebenthal Global Advisors · CRD 283303
- Role
- Chief Compliance
- Office
- 200 PARKWAY DRIVE SOUTH, SUITE 200, Hauppauge, NY 11788
- Registration
- Investment adviser and broker registrations
- In the industry since
- November 1984
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Thomas Katovitz work?
Thomas Katovitz has been Chief Compliance of Lebenthal Global Advisors, LLC since February 2016, and is a control person of the firm.
Is Thomas Katovitz a financial advisor?
Yes. Thomas Katovitz has a current investment-adviser registration in New York, through Lebenthal Global Advisors since July 2021.
How many years of experience does Thomas Katovitz have?
Thomas Katovitz has 41 years in the financial industry, since November 1984, across 1 adviser firm.
What exams has Thomas Katovitz passed?
Thomas Katovitz has passed 5 licensing exams: the Series 7, Series 63, Series 24, Series 55 and Series 57TO. The earliest, the Series 7, was passed in December 1983. FINRA credited Thomas Katovitz with the SIE, which began in October 2018.
Where is Thomas Katovitz based?
Thomas Katovitz’s registered office is in Hauppauge, NY.
Is Thomas Katovitz registered with FINRA?
Yes. Thomas Katovitz has a current broker registration, under CRD 1136616.
Source: FINRA BrokerCheck
How can I verify Thomas Katovitz’s record?
Search CRD 1136616 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Thomas Katovitz’s full registration record.