Daniel S. Lennon
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Daniel Samuel Lennon was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1985. Daniel had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2018 - January 7, 2022
EDELMAN FINANCIAL ENGINES
April 22, 2016 - October 31, 2018
RETIREONE INVESTMENT SERVICES, LLC
August 11, 2009 - November 1, 2018
EDELMAN FINANCIAL SERVICES, LLC
August 11, 2009 - April 22, 2016
SANDERS MORRIS LLC
November 14, 2006 - August 13, 2009
GMS GROUP
November 14, 2006 - August 13, 2009
GMS GROUP
March 2, 2006 - November 14, 2006
HENNION & WALSH ASSET MANAGEMENT, INC.
October 21, 2005 - November 13, 2006
HENNION & WALSH, INC.
April 14, 2003 - October 25, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
April 2, 2003 - October 25, 2005
IDS LIFE INSURANCE COMPANY
April 2, 2003 - October 25, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
May 15, 1997 - April 11, 2003
A. G. EDWARDS & SONS, INC.
March 11, 1996 - May 12, 1997
KIRLIN SECURITIES INC.
September 28, 1990 - March 20, 1996
HALPERT AND COMPANY, INC.
November 7, 1985 - November 29, 1988
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,552,934 |
| AUM (Assets Under Management) | $ 292,902,969,770 |
Red Flags
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