James J. 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.
James Joseph Lennon MR. was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1971. James had worked at 6 firms and has passed the Series 65, Series 63, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2008 - December 31, 2012
BOENNING & SCATTERGOOD, INC.
September 13, 2001 - December 31, 2012
BOENNING & SCATTERGOOD, INC.
March 27, 1995 - September 17, 2001
INVESTEC INC.
September 17, 1991 - March 24, 1995
CREDIT SUISSE SECURITIES (USA) LLC
November 23, 1984 - September 30, 1991
ALEX. BROWN & SONS INCORPORATED
May 19, 1978 - November 30, 1984
KIDDER, PEABODY & CO. INCORPORATED
November 22, 1971 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
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
PC
Date: 4/22/1977
AMEX Put and Call ExamSeries 1
Date: 11/18/1971
Registered Representative ExaminationSeries 8
Date: 5/25/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BOENNING & SCATTERGOOD, INC.
CRD#: 100 / SEC#: 801-68111, 8-15543
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOENNING & SCATTERGOOD HOLDINGS | HOLDING CO OF BOENNING & SCATTERGOOD INC | |
| MADDALONI, ANDREW MICHAEL | DIRECTOR | 2825865 |
| MARA, GEORGE MICHAEL JR | CHIEF COMPLIANCE OFFICER | 1574331 |
| MARA, GEORGE MICHAEL JR | PRESIDENT | 1574331 |
| SCATTERGOOD, HAROLD FRANCIS JR | DIRECTOR | 412133 |
| STANNARD, JEFFREY TAPPAN | DIRECTOR | 1337225 |
| WEIGAND, DALE ROBERT | DIRECTOR, CHIEF FINANCIAL OFFICER,FINOP | 1374549 |
Regulatory assets under management
| Total Number of Accounts | 1,321 |
| AUM (Assets Under Management) | $ 1,157,621,985 |
Disclosures
| Regulatory Event | 22 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
