Jacob P. Ashley
Professional summary
Jacob Prescott Ashley, CIMA®, who also goes by Jake Ashley, is a registered financial professional currently at JANUS HENDERSON DISTRIBUTORS US LLC located in Denver, Colorado.
Jacob is registered as a RR (Registered Representative) and started their career in finance in 1998. Jacob has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 30 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jacob Prescott Ashley's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 17, 2020 - Present
JANUS HENDERSON DISTRIBUTORS US LLC
Office #1: 151 Detroit Street, Denver, CO 80206January 8, 2019 - December 31, 2019
AQR INVESTMENTS, LLC
August 13, 2013 - December 31, 2018
ALPS DISTRIBUTORS, INC.
July 24, 2003 - August 8, 2013
GOLDMAN SACHS ASSET MANAGEMENT, L.P.
August 30, 2002 - August 8, 2013
GOLDMAN SACHS & CO. LLC
October 28, 1998 - August 8, 2013
GOLDMAN SACHS & CO. LLC
January 20, 1998 - May 29, 1998
CAPITAL FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/17/2020)
(3/17/2020)
(3/17/2020)
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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