John F. Brown
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.
John Fraser Brown was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2012 - April 7, 2022
JANUS HENDERSON DISTRIBUTORS US LLC
January 9, 2007 - August 22, 2012
HIMCO DISTRIBUTION SERVICES COMPANY
September 9, 2003 - July 27, 2004
FORESIDE FUND SERVICES, LLC
January 12, 2001 - May 22, 2003
FIDELITY DISTRIBUTORS COMPANY LLC
August 10, 1998 - June 21, 2000
FIDELITY DISTRIBUTORS CORPORATION
December 11, 1997 - June 21, 2000
FIDELITY BROKERAGE SERVICES LLC
December 4, 1992 - December 11, 1997
FIDELITY DISTRIBUTORS COMPANY LLC
May 20, 1991 - August 19, 1992
AETNA LIFE INSURANCE AND ANNUITY COMPANY
November 28, 1989 - August 19, 1992
AELTUS CAPITAL, INC
April 2, 1986 - October 7, 1987
AETNA LIFE INSURANCE AND ANNUITY COMPANY
April 2, 1986 - December 20, 1989
AETNA FINANCIAL SERVICES, INC.
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
Current Firm
JANUS HENDERSON DISTRIBUTORS US LLC
CRD#: 28832 / SEC#: , 8-43810
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JANUS HENDERSON INVESTORS US LLC | MANAGING MEMBER | |
| ANDERS, JOHANNA MARRIE | CHIEF COMPLIANCE OFFICER AND HEAD OF DISTRIBUTION COMPLIANCE (US) | 2350087 |
| CASHEL, WILLIAM S IV | HEAD OF BUSINESS DEVELOPMENT, PRIVACORE CAPITAL, LLC | 2870348 |
| CRAWFORD, BERG ASHTON | CHIEF ACCOUNTING OFFICER | 7933828 |
| FALCONER, PETER JOHN | ASSISTANT SECRETARY | 7218508 |
| GRAUERHOLZ, STEPHANIE LYNN | DEPUTY GENERAL COUNSEL | 4696390 |
| LACY, KARLENE J | GLOBAL HEAD OF TAX | 5073113 |
| MARIANI, KRISTIN BRETT | HEAD OF COMPLIANCE, NORTH AMERICA | 2740967 |
| ROSENBERG, MICHELLE ROSE | GENERAL COUNSEL, SECRETARY | 4735608 |
| SABA, STEVEN RICHARD | FINANCIAL AND OPERATIONS PRINCIPAL | 5847576 |
| SCHWEITZER, MICHAEL ALAN | PRESIDENT | 1940642 |
| UTZ, KATHRYN BRETTON | DEPUTY CHIEF COMPLIANCE OFFICER AND N.A. HEAD OF SALES PRACTICE COMPLIANCE | 3100695 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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