KR
Kevin A. Rosenfeld
JANUS HENDERSON DISTRIBUTORS US LLC
New York, NY 10018
Some features on this profile are disabled
CRD#: 2989217
KR
Professional summary
Kevin Adam Rosenfeld, who also goes by Kevin Adam Rosenfeld, is a registered financial professional currently at JANUS HENDERSON DISTRIBUTORS US LLC located in New York, New York.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 2009. Kevin has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 23, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kevin Adam Rosenfeld
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 Kevin Adam Rosenfeld'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
September 29, 2023 - Present
JANUS HENDERSON DISTRIBUTORS US LLC
Office #1: 1411 Broadway Floor 17, New York, NY 10018BD
CRD#: 28832
New York, NY
Past
June 11, 2020 - February 15, 2023
LAZARD ASSET MANAGEMENT SECURITIES LLC
BD
CRD#: 129119
NEW YORK, NY
Past
May 14, 2010 - February 12, 2020
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NEW YORK, NY
Past
October 21, 2009 - May 14, 2010
SANFORD C. BERNSTEIN & CO., LLC
BD
CRD#: 104474
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(9/29/2023)
RR
Alaska(9/29/2023)
RR
Arizona(9/29/2023)
RR
Arkansas(9/29/2023)
RR
California(9/29/2023)
RR
Colorado(9/29/2023)
RR
Connecticut(9/29/2023)
RR
Delaware(9/29/2023)
RR
District of Columbia(9/29/2023)
RR
Florida(9/29/2023)
RR
Georgia(9/29/2023)
RR
Hawaii(9/29/2023)
RR
Idaho(9/29/2023)
RR
Illinois(9/29/2023)
RR
Indiana(9/29/2023)
RR
Iowa(9/29/2023)
RR
Kansas(9/29/2023)
RR
Kentucky(9/29/2023)
RR
Louisiana(9/29/2023)
RR
Maine(9/29/2023)
RR
Maryland(9/29/2023)
RR
Massachusetts(9/29/2023)
RR
Michigan(9/29/2023)
RR
Minnesota(9/29/2023)
RR
Mississippi(9/29/2023)
RR
Missouri(9/29/2023)
RR
Montana(9/29/2023)
RR
Nebraska(9/29/2023)
RR
Nevada(9/29/2023)
RR
New Hampshire(9/29/2023)
RR
New Jersey(9/29/2023)
RR
New Mexico(9/29/2023)
RR
New York(9/29/2023)
RR
North Carolina(9/29/2023)
RR
North Dakota(9/29/2023)
RR
Ohio(9/29/2023)
RR
Oklahoma(9/29/2023)
RR
Oregon(9/29/2023)
RR
Pennsylvania(9/29/2023)
RR
Rhode Island(9/29/2023)
RR
South Carolina(9/29/2023)
RR
South Dakota(9/29/2023)
RR
Tennessee(9/29/2023)
RR
Texas(9/29/2023)
RR
Utah(9/29/2023)
RR
Vermont(9/29/2023)
RR
Virginia(9/29/2023)
RR
Washington(9/29/2023)
RR
West Virginia(9/29/2023)
RR
Wisconsin(9/29/2023)
RR
Wyoming(9/29/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
