William S. Cashel
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Sutherland Cashel IV, who also goes by William S IV Cashel, Bill Cashel, William S Cashel Iv, William S Cashel, William Cashel, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2000. William had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2023 - January 13, 2026
JANUS HENDERSON DISTRIBUTORS US LLC
July 26, 2022 - September 19, 2022
FIERA CAPITAL INC.
September 9, 2021 - August 12, 2022
FORESIDE FUND SERVICES, LLC
January 2, 2019 - December 31, 2020
AQR INVESTMENTS, LLC
March 26, 2009 - December 31, 2018
ALPS DISTRIBUTORS, INC.
May 24, 2005 - March 23, 2009
NATIXIS ADVISORS, LLC
May 24, 2005 - March 23, 2009
NATIXIS DISTRIBUTION, LLC
July 1, 2003 - May 19, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - May 19, 2005
WELLS FARGO CLEARING SERVICES, LLC
November 6, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 12, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
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 |
| 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 |
| ROSENFELD, KEVIN | HEAD OF PRIVACORE SALES | 2989217 |
| 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.
