Paul A. Lyons
Professional summary
Paul Anthony Lyons III is a registered financial professional currently at JANUS HENDERSON DISTRIBUTORS US LLC located in Denver, Colorado.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1998. Paul has worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 25, Series 7, Series 10, Series 9 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Paul Anthony Lyons III's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 18, 2016 - Present
JANUS HENDERSON DISTRIBUTORS US LLC
Office #1: 151 Detroit Street, Denver, CO 80206January 9, 2012 - May 2, 2016
CREDIT SUISSE SECURITIES (USA) LLC
November 5, 2009 - November 4, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
June 27, 2008 - December 31, 2009
BLACKROCK EXECUTION SERVICES
March 24, 2000 - May 2, 2008
MORGAN STANLEY & CO. LLC
October 8, 1999 - March 17, 2000
WSM HOLDINGS, L.L.C.
July 30, 1998 - October 8, 1999
CMJ PARTNERS 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
(4/18/2016)
(4/18/2016)
Exams
Series 25
Date: 8/19/1999
NYSE Trading Assistant ExaminationFINRA
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
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.
