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AF

Andrew Folley

JANUS HENDERSON DISTRIBUTORS US
New York, NY 10018
Some features on this profile are disabled
CRD#: 5146785
AF

Professional summary

Andrew Folley, who also goes by Andrew Sutherland Folley, is a registered financial professional currently at JANUS HENDERSON DISTRIBUTORS US LLC located in New York, New York.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2006. Andrew has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andrew Sutherland Folley

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 Andrew Folley'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

January 16, 2024 - Present

JANUS HENDERSON DISTRIBUTORS US LLC

Office #1: 1411 Broadway Floor 17, New York, NY 10018
BD
CRD#: 28832
New York, NY
Past

August 14, 2023 - January 4, 2024

BRITEHORN SECURITIES

BD
CRD#: 36402
DENVER, CO
Past

March 30, 2021 - September 12, 2022

FORESIDE FINANCIAL SERVICES, LLC

BD
CRD#: 148477
PORTLAND, ME
Past

March 26, 2019 - March 11, 2021

LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS, LLC

BD
CRD#: 157625
CHICAGO, IL
Past

March 10, 2008 - March 19, 2019

NATIXIS DISTRIBUTION, LLC

BD
CRD#: 34754
BOSTON, MA
Past

August 10, 2006 - February 13, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
QUINCY, 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
Colorado
(1/16/2024)
RR
Connecticut
(1/16/2024)
RR
New Jersey
(1/16/2024)
RR
New York
(1/16/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/28/2006
Uniform Combined 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: 8/9/2006
General Securities Representative 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)
PREMIUM
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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)

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#: 28832New York, NY 10018

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