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DS

Daniel Spenny

JANUS HENDERSON DISTRIBUTORS US LLC
Denver, CO 80206
Some features on this profile are disabled
CRD#: 1626037
DS

Professional summary

Daniel Spenny, who also goes by Dan Spenny, Daniel Edward Spenny, is a registered financial professional currently at JANUS HENDERSON DISTRIBUTORS US LLC located in Denver, Colorado.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1987. Daniel has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dan Spenny | Daniel Edward Spenny

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 Daniel Spenny's 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

June 12, 2006 - Present

JANUS HENDERSON DISTRIBUTORS US LLC

Office #1: 151 Detroit Street, Denver, CO 80206
BD
CRD#: 28832
Denver, CO
Past

June 2, 1988 - May 22, 2006

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

June 2, 1988 - May 22, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

March 25, 1987 - March 30, 1987

LPL FINANCIAL LLC

BD
CRD#: 6413

State Registrations and Notice Filings

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

RR
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

RR
Colorado
(6/12/2006)
RR
Florida
(8/29/2023)
RR
Minnesota
(6/12/2006)
RR
North Dakota
(11/1/2022)
RR
South Dakota
(11/1/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 3/27/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/21/1987
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

JH
JANUS HENDERSON DISTRIBUTORS US LLC
JANUS DISTRIBUTORS LLC | JANUS HENDERSON DISTRIBUTORS US LLC | JANUS HENDERSON DISTRIBUTORS | JANUS DISTRIBUTORS, INC.

CRD#: 28832 / SEC#: , 8-43810

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
151 Detroit Street, Denver, CO 80206-4923
Mailing Address
151 Detroit Street, Denver, CO 80206-4923
Phone number
(303) 333-3863
Established
Delaware since 02/27/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
JANUS HENDERSON INVESTORS US LLCMANAGING MEMBER
ANDERS, JOHANNA MARRIECHIEF COMPLIANCE OFFICER AND HEAD OF DISTRIBUTION COMPLIANCE (US)2350087
CASHEL, WILLIAM S IVHEAD OF BUSINESS DEVELOPMENT, PRIVACORE CAPITAL, LLC2870348
CRAWFORD, BERG ASHTONCHIEF ACCOUNTING OFFICER7933828
FALCONER, PETER JOHNASSISTANT SECRETARY7218508
GRAUERHOLZ, STEPHANIE LYNNDEPUTY GENERAL COUNSEL4696390
LACY, KARLENE JGLOBAL HEAD OF TAX5073113
MARIANI, KRISTIN BRETTHEAD OF COMPLIANCE, NORTH AMERICA2740967
ROSENBERG, MICHELLE ROSEGENERAL COUNSEL, SECRETARY4735608
SABA, STEVEN RICHARDFINANCIAL AND OPERATIONS PRINCIPAL5847576
SCHWEITZER, MICHAEL ALANPRESIDENT1940642
UTZ, KATHRYN BRETTONDEPUTY CHIEF COMPLIANCE OFFICER AND N.A. HEAD OF SALES PRACTICE COMPLIANCE3100695

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.

Company Information

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832Denver, CO 80206

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