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JL

John R. Lennon

LOOP CAPITAL MARKETS LLC
Clark, NJ 07066
Some features on this profile are disabled
CRD#: 2369783
JL

Professional summary

John Robert Lennon is a registered financial professional currently at LOOP CAPITAL MARKETS LLC located in Clark, New Jersey.

John is registered as a RR (Registered Representative) and started their career in finance in 1993. John has worked at 11 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 4, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Robert Lennon's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 12, 2024 - Present

LOOP CAPITAL MARKETS LLC

Office #1: 100 Walnut Avenue, Suite 505, Clark, NJ 07066
RIA
BD
CRD#: 43098
Clark, NJ
Past

October 2, 2023 - October 1, 2024

MISCHLER FINANCIAL GROUP, INC.

BD
CRD#: 37818
IRVINE, CA
Past

April 1, 2020 - September 15, 2023

ODEON CAPITAL GROUP LLC

BD
CRD#: 148493
NEW YORK, NY
Past

March 31, 2008 - September 25, 2019

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
NEW YORK, NY
Past

June 20, 2006 - April 7, 2008

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

February 22, 2001 - June 16, 2006

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
RED BANK, NJ
Past

April 26, 2000 - August 31, 2000

LIMITRADER SECURITIES, INC.

BD
CRD#: 22587
NEW YORK, NY
Past

October 1, 1999 - March 23, 2000

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

February 2, 1998 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC
Past

April 18, 1996 - February 2, 1998

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 19002
CHARLOTTE, NC
Past

October 13, 1993 - February 23, 1996

FAM DISTRIBUTORS, INC.

BD
CRD#: 4100
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New Jersey
(11/12/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 5/9/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 10/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/12/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/2/2023
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/3/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/21/2001
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

LC
LOOP CAPITAL MARKETS LLC
LOOP CAPITAL MARKETS L.L.C. | LOOP CAPITAL MARKETS LLC

CRD#: 43098 / SEC#: , 8-50140

Illinois
Registered Investment Advisory firm - SEC (4/4/2012 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
425 S. Financial Place Ste 2700, Chicago, IL 60605
Mailing Address
425 S. Financial Place Ste 2700, Chicago, IL 60605
Phone number
(312) 913-4900
Established
Delaware since 06/01/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
250

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
LOOP CAPITAL, LLCOWNER
BERKELEY, STEPHEN SIDNEYREGULATORY COUNSEL AND CCO5616433
LUPKIN, IRA ADAMCHIEF FINANCIAL OFFICER4463446
REYNOLDS, JAMES JR.CHIEF EXECUTIVE OFFICER1162337
SULLIVAN, ANTHONYCHIEF OPERATING OFFICER5995264

Disclosures

Regulatory Event8

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.

Company Information

LOOP CAPITAL MARKETS LLC

CRD#: 43098Clark, NJ 07066

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