James G. Lenz

MANNING & NAPIER INVESTOR SERVICES

Fairport, NY 14450

Some features on this profile are disabled

CRD#: 4880471

Professional summary

James Garnet Lenz is a registered financial professional currently at MANNING & NAPIER INVESTOR SERVICES, INC. located in Fairport, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2005. James has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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 James Garnet Lenz'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 27, 2024 - Present

MANNING & NAPIER INVESTOR SERVICES, INC.

Office #1: 290 Woodcliff Drive, Fairport, NY 14450

CRD#: 26266

Fairport, NY

Past

February 28, 2022 - November 12, 2024

FORESIDE FUND SERVICES, LLC

CRD#: 46106

El Segundo, CA

Past

May 8, 2009 - February 28, 2022

GRIFFIN CAPITAL SECURITIES, LLC

CRD#: 37739

EL SEGUNDO, CA

Past

August 14, 2008 - November 21, 2008

CAREY FINANCIAL, LLC

CRD#: 15246

NEW YORK, NY

Past

November 17, 2005 - May 5, 2008

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

CHARLOTTE, NC

State Registrations and Notice Filings

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

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

California
(11/27/2024)

Hawaii
(11/27/2024)

Nevada
(11/27/2024)

Exams

State Security Law Exam

Series 63

Date: 1/4/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/13/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/16/2005

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

MANNING & NAPIER INVESTOR SERVICES, INC.

FIDUCIARY BROKER SERVICES, INC. | MANNING & NAPIER INVESTOR SERVICES, INC. | MANNING & NAPIER CAPITAL ADVISORS

CRD#: 26266 / SEC#: , 8-42468

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

290 Woodcliff Drive, Fairport, NY 14450

Mailing Address

290 Woodcliff Drive, Fairport, NY 14450

Phone number

(585) 325-6880

Established

New York since 03/21/1990

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
MANNING & NAPIER GROUP, LLC	OWNER
CRAIG, ELIZABETH KIM	DIRECTOR	5726029
CRAIG, ELIZABETH KIM	CORPORATE SECRETARY	5726029
LAREW, SAMANTHA MARIE	CHIEF COMPLIANCE OFFICER	4928353
LINDENMUTH, VALERIE MAY	DIRECTOR	4572179
MORABITO, SCOTT JAMES	PRESIDENT/ DIRECTOR	6838712
MORABITO, SCOTT JAMES	PRINCIPAL OPERATIONS OFFICER	6838712
SERRA, CARL ANTHONY III	PRINCIPAL FINANCIAL OFFICER	3179039

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.

Similar Advisors

Mark Downey

RAYMOND JAMES & ASSOCIATES, INC.

IAR

Rochester, NY

Donald Devitto

RBC CAPITAL MARKETS, LLC

IAR

Rochester, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James G. Lenz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Garnet Lenz's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

GRIFFIN CAPITAL SECURITIES, LLC

CAREY FINANCIAL, LLC

EQUITABLE DISTRIBUTORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/4/2006

SIE

Date: 10/1/2018

Series 7

Date: 8/13/2008

Series 6

Date: 11/16/2005

FINRA

Current Firm

MANNING & NAPIER INVESTOR SERVICES, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

MANNING & NAPIER INVESTOR SERVICES, INC.

TRUST BUT VERIFY

Similar Advisors