Seth Goldzweig

JANUS HENDERSON DISTRIBUTORS US LLC

Denver, CO 80206

Some features on this profile are disabled

CRD#: 2175970

Professional summary

Seth Goldzweig is a registered financial professional currently at JANUS HENDERSON DISTRIBUTORS US LLC located in Denver, Colorado.

Seth is registered as a RR (Registered Representative) and started their career in finance in 1994. Seth has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 23, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Seth Goldzweig'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

January 10, 2025 - Present

JANUS HENDERSON DISTRIBUTORS US LLC

Office #1: 151 Detroit Street, Denver, CO 80206

CRD#: 28832

Denver, CO

Past

February 1, 2016 - December 11, 2024

EATON VANCE MANAGEMENT

RIA

CRD#: 104859

BOSTON, MA

Past

January 19, 2016 - December 11, 2024

EATON VANCE DISTRIBUTORS, INC.

CRD#: 37731

New York, NY

Past

June 1, 2009 - January 12, 2016

MORGAN STANLEY

RIA

CRD#: 149777

PURCHASE, NY

Past

June 1, 2009 - January 12, 2016

MORGAN STANLEY

CRD#: 149777

SHORT HILLS, NJ

Past

May 15, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

FAIRFIELD, NJ

Past

May 15, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

FAIRFIELD, NJ

Past

September 26, 2006 - June 4, 2008

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WEEHAWKEN, NJ

Past

September 26, 2006 - June 4, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 2, 2005 - September 25, 2006

VAN KAMPEN ADVISORS INC

RIA

CRD#: 104703

OAKBROOK TERRACE, IL

Past

March 2, 2005 - September 25, 2006

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

Past

November 20, 2002 - February 4, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

JERSEY CITY, NJ

Past

May 10, 1994 - February 4, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

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

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

Arizona
(1/10/2025)

Arkansas
(1/10/2025)

California
(1/10/2025)

Colorado
(1/10/2025)

Florida
(1/10/2025)

Georgia
(1/10/2025)

Illinois
(1/10/2025)

Kansas
(1/10/2025)

Massachusetts
(1/10/2025)

Minnesota
(1/10/2025)

Missouri
(1/10/2025)

Montana
(1/10/2025)

Nebraska
(1/10/2025)

New Hampshire
(1/10/2025)

New Jersey
(1/10/2025)

New York
(1/10/2025)

North Carolina
(1/10/2025)

Ohio
(1/13/2025)

Pennsylvania
(1/10/2025)

Rhode Island
(1/10/2025)

Texas
(1/10/2025)

Washington
(1/10/2025)

Wisconsin
(1/10/2025)

Exams

State Security Law Exam

IAR

Series 65

Date: 11/1/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/25/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/9/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 23

Date: 5/27/2016

General Securities Principal Sales Supervisor

Principal/Supervisory Exam

Series 10

Date: 5/21/2009

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 2/6/2009

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

JANUS HENDERSON DISTRIBUTORS US LLC

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

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

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Craig Johlfs

LPL FINANCIAL LLC

IAR

Greenwood Village, CO

Ralph Jones

OPPENHEIMER & CO. INC.

IAR

Denver, CO

Lorie Jones

TANDEM FINANCIAL, LLC

IAR

GREENWOOD VILLAGE, CO

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Seth Goldzweig

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Seth Goldzweig's CRS (Customer Relationship Summary).

Certified licenses

Experience

EATON VANCE MANAGEMENT

EATON VANCE DISTRIBUTORS, INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

VAN KAMPEN ADVISORS INC

INVESCO CAPITAL MARKETS, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/1/2002

Series 63

Date: 2/25/2002

SIE

Date: 10/1/2018

Series 7

Date: 5/9/1994

Series 24

Date: 1/2/2023

Series 23

Date: 5/27/2016

Series 10

Date: 5/21/2009

Series 9

Date: 2/6/2009

FINRA

Current Firm

JANUS HENDERSON DISTRIBUTORS US LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

JANUS HENDERSON DISTRIBUTORS US LLC

TRUST BUT VERIFY

Contact information

Similar Advisors