James Patrick Lennon

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-11-13

NY RA
APPROVED

Since 2021-11-13

Branch Locations

4 Tower Pl Fl 9, Albany, NY 12203 • United States

Loudonville, NY • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Albany	NY	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Albany	NY	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Albany, NY
11/2016 → Present

Wells Fargo Clearing Services, Llc

Albany, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-11-12
S63	Uniform Securities Agent State Law Examination	1985-09-27

S65 Uniform Investment Adviser Law Examination

2021-11-12
S63 Uniform Securities Agent State Law Examination

1985-09-27

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Exams

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