Brett Cohen
Professional summary
Brett Cohen, who also goes by Brett Raphael Cohen, is a registered financial professional currently at JANUS HENDERSON DISTRIBUTORS US LLC located in Denver, Colorado.
Brett is registered as a RR (Registered Representative) and started their career in finance in 1994. Brett has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brett Cohen's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 4, 2004 - Present
JANUS HENDERSON DISTRIBUTORS US LLC
Office #1: 151 Detroit Street, Denver, CO 80206March 27, 2003 - November 19, 2004
DWS INVESTMENT MANAGEMENT AMERICAS, INC.
July 30, 2002 - November 19, 2004
DWS DISTRIBUTORS, INC.
January 13, 2001 - July 30, 2002
DEUTSCHE BANK SECURITIES INC.
December 11, 1999 - January 13, 2001
DB ALEX. BROWN LLC
August 16, 1994 - October 15, 1999
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/31/2022)
(11/5/2004)
(11/4/2004)
Exams
FINRA
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
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