MS
Michael A. Schweitzer
JANUS HENDERSON DISTRIBUTORS US LLC
Denver, CO 80206
Some features on this profile are disabled
CRD#: 1940642
MS
Professional summary
Michael Alan Schweitzer is a registered financial professional currently at JANUS HENDERSON DISTRIBUTORS US LLC located in Denver, Colorado.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1989. Michael has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 24, Series 9, Series 23 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
Name of the other business: MEALS, LLC / Is the business Investment Related: NO / The address of the other business: 1571 Halsam Terrace, Los Angeles, CA 90069 / The nature of the other business: Online Home furnishings / Your position/title: Member (I will not have any day to day responsibilities. This is my spouses business but by definition I will own 50%) / Start date: 9/1/20 / The number of hours/month you devote to the other business: Less than 1 / The number of hours during securities trading hours: 0
CRS (Client Relationship Summary) - BD
Click below to view Michael Alan Schweitzer'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®
NoneExperience
Current
November 28, 2022 - Present
JANUS HENDERSON DISTRIBUTORS US LLC
Office #1: 151 Detroit Street, Denver, CO 80206BD
CRD#: 28832
Denver, CO
Past
January 6, 2017 - November 9, 2022
CAPITAL CLIENT GROUP, INC.
RIA
CRD#: 6247
Los Angeles, CA
Past
January 5, 2017 - November 9, 2022
CAPITAL CLIENT GROUP, INC.
BD
CRD#: 6247
Los Angeles, CA
Past
May 20, 2013 - December 22, 2016
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK CITY, NY
Past
April 10, 2013 - December 22, 2016
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
CANARY WHARF,
Past
September 19, 2003 - July 10, 2012
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WEEHAWKEN, NJ
Past
September 2, 2003 - July 10, 2012
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
May 11, 1999 - September 16, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BEVERLY HILLS, CA
Past
May 23, 1989 - September 16, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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
Alabama(11/28/2022)
RR
Alaska(11/28/2022)
RR
Arizona(11/28/2022)
RR
Arkansas(11/28/2022)
RR
California(11/28/2022)
RR
Colorado(11/28/2022)
RR
Connecticut(11/28/2022)
RR
Delaware(11/28/2022)
RR
District of Columbia(11/28/2022)
RR
Florida(11/28/2022)
RR
Georgia(11/28/2022)
RR
Hawaii(11/28/2022)
RR
Idaho(11/28/2022)
RR
Illinois(11/28/2022)
RR
Indiana(11/28/2022)
RR
Iowa(11/28/2022)
RR
Kansas(11/28/2022)
RR
Kentucky(11/28/2022)
RR
Louisiana(11/28/2022)
RR
Maine(11/28/2022)
RR
Maryland(11/28/2022)
RR
Massachusetts(11/28/2022)
RR
Michigan(11/28/2022)
RR
Minnesota(11/28/2022)
RR
Mississippi(11/28/2022)
RR
Missouri(11/28/2022)
RR
Montana(11/28/2022)
RR
Nebraska(11/28/2022)
RR
Nevada(11/28/2022)
RR
New Hampshire(11/28/2022)
RR
New Jersey(11/28/2022)
RR
New Mexico(11/28/2022)
RR
New York(11/28/2022)
RR
North Carolina(11/28/2022)
RR
North Dakota(11/28/2022)
RR
Ohio(11/29/2022)
RR
Oklahoma(11/28/2022)
RR
Oregon(11/28/2022)
RR
Pennsylvania(11/28/2022)
RR
Puerto Rico(9/13/2024)
RR
Rhode Island(11/28/2022)
RR
South Carolina(11/28/2022)
RR
South Dakota(11/28/2022)
RR
Tennessee(11/28/2022)
RR
Texas(11/28/2022)
RR
Utah(11/28/2022)
RR
Vermont(11/28/2022)
RR
Virgin Islands(9/13/2024)
RR
Virginia(11/28/2022)
RR
Washington(11/28/2022)
RR
West Virginia(11/28/2022)
RR
Wisconsin(11/28/2022)
RR
Wyoming(11/28/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 10/5/1994
General Securities Sales Supervisor Examination (Options Module & General Module)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)
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
