Candice C. Holmes
Professional summary
Candice Caroline Holmes, who also goes by Candice Caroline Holmes, Candice Denice Looney, Candice Looney, Candice D Looney, Candice Denice Looney, Candice Denice Looney, is a registered financial professional currently at JANUS HENDERSON DISTRIBUTORS US LLC located in New York, New York.
Candice is registered as a RR (Registered Representative) and started their career in finance in 2003. Candice has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Candice Caroline Holmes's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 10, 2024 - Present
JANUS HENDERSON DISTRIBUTORS US LLC
Office #1: 1411 Broadway Floor 17, New York, NY 10018August 29, 2018 - January 3, 2024
ALLSPRING FUNDS DISTRIBUTOR, LLC
May 23, 2012 - July 30, 2018
RAYMOND JAMES & ASSOCIATES, INC.
May 10, 2011 - May 24, 2012
COMMONWEALTH CAPITAL SECURITIES CORP.
March 2, 2011 - April 27, 2011
MUTUAL OF AMERICA SECURITIES LLC
March 2, 2011 - April 27, 2011
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
May 7, 2010 - January 31, 2011
CAPITAL CLIENT GROUP, INC.
August 14, 2006 - May 3, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 11, 2006 - May 3, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 21, 2005 - August 16, 2006
CITIGROUP GLOBAL MARKETS INC.
March 15, 2004 - August 16, 2006
CITIGROUP GLOBAL MARKETS INC.
November 5, 2003 - January 14, 2004
IDS LIFE INSURANCE COMPANY
November 5, 2003 - January 14, 2004
AMERIPRISE FINANCIAL SERVICES, 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
(1/10/2024)
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(6/26/2024)
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(1/10/2024)
(6/26/2024)
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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