John M. 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.
John Matthew Lennon, who also goes by John M Lennon, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2012 - January 16, 2018
AUGUSTAR DISTRIBUTORS, INC.
August 2, 2010 - April 3, 2012
NATIONWIDE INVESTMENT ADVISORS, LLC
January 4, 1999 - April 3, 2012
NATIONWIDE INVESTMENT SERVICES CORPORATION
February 25, 1992 - December 31, 1996
CORNA SECURITIES, INC.
October 14, 1991 - March 4, 1992
MULTIPLAN INVESTMENTS, INC.
February 15, 1988 - January 2, 1990
LEHMAN BROTHERS INC.
October 8, 1987 - February 15, 1988
E. F. HUTTON & COMPANY INC
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
AUGUSTAR DISTRIBUTORS, INC.
CRD#: 41081 / SEC#: , 8-49296
Contact information
FINRA licenses (42 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
