John R. 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 Robert Lennon was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 11 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 4, Series 10 and Series 9 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2024 - September 17, 2026
LOOP CAPITAL MARKETS LLC
October 2, 2023 - October 1, 2024
MISCHLER FINANCIAL GROUP, INC.
April 1, 2020 - September 15, 2023
ODEON CAPITAL GROUP LLC
March 31, 2008 - September 25, 2019
IMPERIAL CAPITAL, LLC
June 20, 2006 - April 7, 2008
RBC CAPITAL MARKETS, LLC
February 22, 2001 - June 16, 2006
RAYMOND JAMES & ASSOCIATES, INC.
April 26, 2000 - August 31, 2000
LIMITRADER SECURITIES, INC.
October 1, 1999 - March 23, 2000
WELLS FARGO CLEARING SERVICES, LLC
February 2, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
April 18, 1996 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
October 13, 1993 - February 23, 1996
FAM DISTRIBUTORS, 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
What does exam status mean?
Series 99TO
Passed: 10/2/2023
Operations Professional ExaminationSeries 10
Passed: 10/3/2001
Series 9
Passed: 5/21/2001
Current Firm
LOOP CAPITAL MARKETS LLC
CRD#: 43098 / SEC#: , 8-50140
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 8 |
Red Flags
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