MK
Mark Y. Kim
JANUS HENDERSON DISTRIBUTORS US LLC
Denver, CO 80206
Some features on this profile are disabled
CRD#: 4755988
MK
Professional summary
Mark Young Kim is a registered financial professional currently at JANUS HENDERSON DISTRIBUTORS US LLC located in Denver, Colorado.
Mark is registered as a RR (Registered Representative) and started their career in finance in 2004. Mark has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 Mark Young Kim'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
November 21, 2023 - Present
JANUS HENDERSON DISTRIBUTORS US LLC
Office #1: 151 Detroit Street, Denver, CO 80206BD
CRD#: 28832
Denver, CO
Past
September 27, 2023 - November 14, 2023
STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS
BD
CRD#: 149326
NEW YORK, NY
Past
March 11, 2020 - October 12, 2022
AMG DISTRIBUTORS, INC.
BD
CRD#: 27314
STAMFORD, CT
Past
July 8, 2016 - October 29, 2019
AMG DISTRIBUTORS, INC.
BD
CRD#: 27314
STAMFORD, CT
Past
January 4, 2007 - July 1, 2016
FORESIDE FUNDS DISTRIBUTORS LLC
BD
CRD#: 31334
PORTLAND, ME
Past
July 14, 2005 - December 31, 2006
STERLING CAPITAL DISTRIBUTORS, LLC
BD
CRD#: 103934
CHICAGO, IL
Past
February 18, 2004 - November 18, 2004
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
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
Arizona(11/21/2023)
RR
Arkansas(11/21/2023)
RR
California(11/21/2023)
RR
Colorado(11/21/2023)
RR
Florida(11/21/2023)
RR
Georgia(11/21/2023)
RR
Illinois(11/21/2023)
RR
Kansas(11/21/2023)
RR
Massachusetts(11/21/2023)
RR
Minnesota(11/21/2023)
RR
Missouri(11/21/2023)
RR
Montana(11/21/2023)
RR
Nebraska(11/21/2023)
RR
New Hampshire(11/21/2023)
RR
New Jersey(11/21/2023)
RR
New York(11/21/2023)
RR
North Carolina(11/21/2023)
RR
Ohio(11/21/2023)
RR
Pennsylvania(11/21/2023)
RR
Rhode Island(11/21/2023)
RR
Texas(11/21/2023)
RR
Washington(11/21/2023)
RR
Wisconsin(11/21/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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)
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
