Joseph Dolhon
Professional summary
Joseph Dolhon, who also goes by Joe Dolhon, is a registered financial professional currently at JANUS HENDERSON DISTRIBUTORS US LLC located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2005. Joseph has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Dolhon's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 9, 2024 - Present
JANUS HENDERSON DISTRIBUTORS US LLC
Office #1: 1411 Broadway Floor 17, New York, NY 10018April 9, 2015 - May 23, 2024
AMG DISTRIBUTORS, INC.
June 1, 2009 - March 23, 2015
MORGAN STANLEY
June 1, 2009 - March 23, 2015
MORGAN STANLEY
April 1, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 1, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 2, 2006 - April 14, 2008
FRANKLIN DISTRIBUTORS, LLC
May 31, 2006 - April 14, 2008
CLEARBRIDGE INVESTMENTS, LLC
January 3, 2006 - April 10, 2006
MORGAN STANLEY DW INC.
August 8, 2005 - April 10, 2006
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/9/2024)
(5/9/2024)
(5/9/2024)
(5/9/2024)
(5/9/2024)
(5/9/2024)
(5/9/2024)
(5/9/2024)
(5/9/2024)
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
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.
