MS
Matthew Sommer
JANUS HENDERSON DISTRIBUTORS US LLC
Denver, CO 80206
Some features on this profile are disabled
CRD#: 2254970
MS
Professional summary
Matthew Sommer, CFP®, who also goes by Matthew Brandon Sommer, is a registered financial professional currently at JANUS HENDERSON DISTRIBUTORS US LLC located in Denver, Colorado.
Matthew is registered as a RR (Registered Representative) and started their career in finance in 1992. Matthew has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Matthew Brandon Sommer
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.
CRS (Client Relationship Summary) - BD
Click below to view Matthew Sommer'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®
Experience
Current
May 11, 2010 - Present
JANUS HENDERSON DISTRIBUTORS US LLC
Office #1: 151 Detroit Street, Denver, CO 80206BD
CRD#: 28832
Denver, CO
Past
June 1, 2009 - May 24, 2010
MORGAN STANLEY
BD
CRD#: 149777
PURCHASE, NY
Past
October 28, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
August 21, 1992 - September 20, 1993
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
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(5/11/2010)
RR
Alaska(5/11/2010)
RR
Arizona(5/11/2010)
RR
Arkansas(5/11/2010)
RR
California(5/11/2010)
RR
Colorado(5/11/2010)
RR
Connecticut(5/11/2010)
RR
Delaware(5/11/2010)
RR
District of Columbia(5/11/2010)
RR
Florida(5/11/2010)
RR
Georgia(5/11/2010)
RR
Hawaii(5/11/2010)
RR
Idaho(5/11/2010)
RR
Illinois(5/11/2010)
RR
Indiana(5/11/2010)
RR
Iowa(5/11/2010)
RR
Kansas(5/11/2010)
RR
Kentucky(5/11/2010)
RR
Louisiana(5/11/2010)
RR
Maine(5/11/2010)
RR
Maryland(5/11/2010)
RR
Massachusetts(5/11/2010)
RR
Michigan(5/11/2010)
RR
Minnesota(5/11/2010)
RR
Mississippi(5/11/2010)
RR
Missouri(5/11/2010)
RR
Montana(5/11/2010)
RR
Nebraska(5/11/2010)
RR
Nevada(5/11/2010)
RR
New Hampshire(5/11/2010)
RR
New Jersey(5/11/2010)
RR
New Mexico(5/11/2010)
RR
New York(5/11/2010)
RR
North Carolina(5/11/2010)
RR
North Dakota(5/11/2010)
RR
Ohio(5/11/2010)
RR
Oklahoma(5/11/2010)
RR
Oregon(5/11/2010)
RR
Pennsylvania(5/11/2010)
RR
Rhode Island(5/11/2010)
RR
South Carolina(5/11/2010)
RR
South Dakota(5/11/2010)
RR
Tennessee(5/11/2010)
RR
Texas(5/11/2010)
RR
Utah(5/11/2010)
RR
Vermont(5/11/2010)
RR
Virginia(5/11/2010)
RR
Washington(5/11/2010)
RR
West Virginia(5/11/2010)
RR
Wisconsin(5/11/2010)
RR
Wyoming(5/11/2010)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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.
