Claudia Jane Stern
Investment Adviser Representative at Lebenthal Global Advisors, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Claudia Jane Stern is an investment adviser representative with Lebenthal Global Advisors, LLC in Charlotte, NC, where they have been registered since 2022. They have worked in the securities industry since 1997 and have been registered with 3 firms, including Fusion Analytics Investment Partners LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated. They have passed 6 industry qualification exams, including the Series 65 (investment adviser), Series 66 (combined investment adviser and state securities agent), and Series 7 (general securities representative). They are registered to provide investment advice in North Carolina and Texas.
Registrations & licenses
- Investment adviser:
- North Carolina, Texas
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Fusion Analytics Securities LLCMar 2016 – Sep 2017New York, NY
- Lebenthal Global Advisors, LLCJan 2020 – no end date reportedCharlotte, NC
- Avenir Private AdvisorsMay 2019 – Jan 2020New York, NY
- UnemployedOct 2017 – Apr 2019New York, NY
Official records & sources
Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Lebenthal Global Advisors, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- Estimated blended rate
- 0.0125
- Up to $100,0002.40%
- $100,001 - $250,0002.35%
- $250,001 - $500,0002.25%
- $500,001 - $1,000,0002.15%
+2 more tiers on the firm profile
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$500M–$1B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 26
- Offices listed on AdvisorFinder:
- 7
- Main office:
- Hauppauge, NY
- SEC file number:
- 801-110652
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 12, 2026
View full firm profileOther advisors at Lebenthal Global Advisors, LLC
Showing 12 of 26 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Claudia Jane Stern has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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