AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JB

Jeffrey R. Brooks

JANUS HENDERSON DISTRIBUTORS US LLC
Denver, CO 80206
Some features on this profile are disabled
CRD#: 4359460
JB

Professional summary

Jeffrey Ray Brooks, who also goes by Jeffrey Ray Brooks, Jeff Ray Brooks, Jeff Brooks, is a registered financial professional currently at JANUS HENDERSON DISTRIBUTORS US LLC located in Denver, Colorado.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 2001. Jeffrey has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeffrey Ray Brooks | Jeff Ray Brooks | Jeff Brooks

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Ray Brooks'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®
None

Experience

Current

May 30, 2023 - Present

JANUS HENDERSON DISTRIBUTORS US LLC

Office #1: 151 Detroit Street, Denver, CO 80206
BD
CRD#: 28832
Denver, CO
Past

August 29, 2018 - May 12, 2023

CAPITAL CLIENT GROUP, INC.

RIA
CRD#: 6247
LOS ANGELES, CA
Past

August 29, 2018 - May 12, 2023

CAPITAL CLIENT GROUP, INC.

BD
CRD#: 6247
LOS ANGELES, CA
Past

October 13, 2010 - July 31, 2018

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WEEHAWKEN, NJ
Past

October 13, 2010 - July 31, 2018

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

July 28, 2005 - September 28, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
LOS ANGELES, CA
Past

July 28, 2005 - September 28, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
LOS ANGELES, CA
Past

December 11, 2002 - December 31, 2003

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
ST. LOIS, MO
Past

March 21, 2001 - December 31, 2003

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA

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
California
(5/30/2023)
RR
Colorado
(5/30/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/10/2002
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/19/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/20/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/16/2006
General Securities Principal Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
JANUS HENDERSON INVESTORS US LLCMANAGING MEMBER
ANDERS, JOHANNA MARRIECHIEF COMPLIANCE OFFICER AND HEAD OF DISTRIBUTION COMPLIANCE (US)2350087
CRAWFORD, BERG ASHTONCHIEF ACCOUNTING OFFICER7933828
FALCONER, PETER JOHNASSISTANT SECRETARY7218508
GRAUERHOLZ, STEPHANIE LYNNDEPUTY GENERAL COUNSEL4696390
LACY, KARLENE JGLOBAL HEAD OF TAX5073113
MARIANI, KRISTIN BRETTHEAD OF COMPLIANCE, NORTH AMERICA2740967
ROSENBERG, MICHELLE ROSEGENERAL COUNSEL, SECRETARY4735608
ROSENFELD, KEVINHEAD OF PRIVACORE SALES2989217
SABA, STEVEN RICHARDFINANCIAL AND OPERATIONS PRINCIPAL5847576
SCHWEITZER, MICHAEL ALANPRESIDENT1940642
UTZ, KATHRYN BRETTONDEPUTY CHIEF COMPLIANCE OFFICER AND N.A. HEAD OF SALES PRACTICE COMPLIANCE3100695

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.

Company Information

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832Denver, CO 80206

TRUST BUT VERIFY

Monitor Jeffrey Brooks

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Craig Stuart Johlfs
Craig JohlfsAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Greenwood Village, CO
Ralph Milburn Jones JR
Ralph JonesAdvisorCheck Check Mark
OPPENHEIMER & CO. INC.
IAR
RR
Denver, CO
Lorie Chantelle Jones
Lorie JonesAdvisorCheck Check Mark
TANDEM FINANCIAL, LLC
IAR
GREENWOOD VILLAGE, CO
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.