Nicholas LennonCRD Number: 6126888
Current Firm: Rbc Capital Markets, LLC
Nicholas Lennon (CRD# 6126888) is an Investment Advisor Representative working at Rbc Capital Markets, LLC in Rochester, NY and has over 4 years of experience in the finance industry. Nicholas Lennon has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Wall Street Financial Group, Inc.
American Portfolios Advisors, Inc.
Sage, Rutty & Company, Inc.
|Rbc Capital Markets, LLC||Rochester, NY||Oct 2012 - Current||5|
|Homemaking||Buffalo, NY||Jun 2012 - Oct 2012||< 1|
|Bny Mellon||Boston, MA||Jun 2007 - Jun 2012||5|
|Investor Bank & Trust||Boston, MA||Jun 2006 - Jun 2007||1|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Dec 2012|
Total Assets Under Management76,274MILLIONS
Total Number of Accounts192,243ACCOUNTS
Average Account Value$396,757
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV