WC
William S. Cashel
JANUS HENDERSON DISTRIBUTORS US LLC
New York, NY 10018
Some features on this profile are disabled
CRD#: 2870348
WC
Professional summary
William Sutherland Cashel IV, who also goes by William S IV Cashel, Bill Cashel, William S Cashel Iv, William S Cashel, William Cashel, is a registered financial professional currently at JANUS HENDERSON DISTRIBUTORS US LLC located in New York, New York.
William is registered as a RR (Registered Representative) and started their career in finance in 2000. William has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
William S Iv Cashel | Bill Cashel | William S Cashel Iv | William S Cashel | William Cashel
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.
1) Fiera Capital Inc; investment related; Boston, MA; Asset Management; SVP; Start 06/2021; 160 hours per month, 0 during trading hours 2) Cashel Vermont Properties LLC; Stowe, VT; Non investment related; Start Date 01/01/2022; Renting out Ski Condo; Owner; Rental Income; 2 hours per month with 0 during trading hours.
CRS (Client Relationship Summary) - BD
Click below to view William Sutherland Cashel IV'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
June 20, 2023 - Present
JANUS HENDERSON DISTRIBUTORS US LLC
Office #1: 1411 Broadway Floor 17, New York, NY 10018BD
CRD#: 28832
New York, NY
Past
July 26, 2022 - September 19, 2022
FIERA CAPITAL INC.
RIA
CRD#: 113638
Boston, MA
Past
September 9, 2021 - August 12, 2022
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
Boston, MA
Past
January 2, 2019 - December 31, 2020
AQR INVESTMENTS, LLC
BD
CRD#: 289244
Greenwich, CT
Past
March 26, 2009 - December 31, 2018
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
Boston, MA
Past
May 24, 2005 - March 23, 2009
NATIXIS ADVISORS, LLC
RIA
CRD#: 106800
BOSTON, MA
Past
May 24, 2005 - March 23, 2009
NATIXIS DISTRIBUTION, LLC
BD
CRD#: 34754
BOSTON, MA
Past
July 1, 2003 - May 19, 2005
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
LA JOLLA, CA
Past
July 1, 2003 - May 19, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
November 6, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
LA JOLLA, CA
Past
September 12, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
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(6/20/2023)
RR
Alaska(6/20/2023)
RR
Arizona(6/20/2023)
RR
Arkansas(6/20/2023)
RR
California(6/20/2023)
RR
Colorado(6/20/2023)
RR
Connecticut(6/20/2023)
RR
Delaware(6/20/2023)
RR
District of Columbia(6/20/2023)
RR
Florida(6/20/2023)
RR
Georgia(6/20/2023)
RR
Hawaii(6/20/2023)
RR
Idaho(6/20/2023)
RR
Illinois(6/20/2023)
RR
Indiana(6/20/2023)
RR
Iowa(6/20/2023)
RR
Kansas(6/20/2023)
RR
Kentucky(6/20/2023)
RR
Louisiana(6/20/2023)
RR
Maine(6/20/2023)
RR
Maryland(6/20/2023)
RR
Massachusetts(6/20/2023)
RR
Michigan(6/20/2023)
RR
Minnesota(6/20/2023)
RR
Mississippi(6/20/2023)
RR
Missouri(6/20/2023)
RR
Montana(6/20/2023)
RR
Nebraska(6/20/2023)
RR
Nevada(6/20/2023)
RR
New Hampshire(6/20/2023)
RR
New Jersey(6/20/2023)
RR
New Mexico(6/20/2023)
RR
New York(6/20/2023)
RR
North Carolina(6/20/2023)
RR
North Dakota(6/20/2023)
RR
Ohio(6/20/2023)
RR
Oklahoma(6/20/2023)
RR
Oregon(6/20/2023)
RR
Pennsylvania(6/20/2023)
RR
Rhode Island(6/20/2023)
RR
South Carolina(6/20/2023)
RR
South Dakota(6/20/2023)
RR
Tennessee(6/20/2023)
RR
Texas(6/20/2023)
RR
Utah(6/20/2023)
RR
Vermont(6/20/2023)
RR
Virginia(6/20/2023)
RR
Washington(6/20/2023)
RR
West Virginia(6/20/2023)
RR
Wisconsin(6/20/2023)
RR
Wyoming(6/20/2023)
Exams
State Security Law Exam
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)
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.
