Michael J. Garofalo
Professional summary
Michael Joseph Garofalo, who also goes by Mike Garofalo, is a registered financial professional currently at JANUS HENDERSON DISTRIBUTORS US LLC located in Denver, Colorado.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2007. Michael has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Joseph Garofalo's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 19, 2016 - Present
JANUS HENDERSON DISTRIBUTORS US LLC
Office #1: 151 Detroit Street, Denver, CO 80206January 22, 2016 - November 15, 2016
SCHWAB WEALTH ADVISORY, INC.
January 22, 2016 - November 15, 2016
CHARLES SCHWAB & CO., INC.
July 25, 2013 - January 6, 2016
CURIAN CAPITAL, LLC
January 14, 2010 - January 6, 2016
CURIAN CLEARING, LLC
February 22, 2007 - December 31, 2009
JACKSON NATIONAL LIFE DISTRIBUTORS 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
(11/1/2022)
(11/1/2022)
(10/19/2016)
(11/1/2022)
(11/1/2022)
(11/1/2022)
(10/24/2023)
(11/1/2022)
(11/1/2022)
(11/1/2022)
(10/24/2023)
(11/1/2022)
(4/30/2019)
(10/24/2023)
(11/1/2022)
(11/1/2022)
(11/1/2022)
(11/1/2022)
(11/1/2022)
(11/1/2022)
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.
