Vincent H. Chiu
Professional summary
Vincent Hing Chiu, who also goes by VIncent H Chiu, Vincent Chiu, is a registered financial professional currently at JANUS HENDERSON DISTRIBUTORS US LLC located in New York, New York.
Vincent is registered as a RR (Registered Representative) and started their career in finance in 2006. Vincent has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Vincent Hing Chiu's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 24, 2025 - Present
JANUS HENDERSON DISTRIBUTORS US LLC
Office #1: 1411 Broadway Floor 17, New York, NY 10018June 21, 2024 - January 17, 2025
FORESIDE FUND SERVICES, LLC
December 6, 2021 - May 22, 2024
AMERICAN BEACON ADVISORS, INC.
May 6, 2021 - May 22, 2024
RESOLUTE INVESTMENT DISTRIBUTORS, INC.
July 22, 2015 - April 16, 2021
NUVEEN ASSET MANAGEMENT, LLC
July 22, 2015 - April 16, 2021
NUVEEN SECURITIES, LLC
January 7, 2014 - July 16, 2015
BLACKROCK INVESTMENT MANAGEMENT, LLC
October 23, 2013 - July 16, 2015
BLACKROCK INVESTMENTS, LLC
August 3, 2010 - October 14, 2013
NATIXIS DISTRIBUTION, LLC
October 12, 2006 - July 27, 2010
SUN LIFE FINANCIAL DISTRIBUTORS, 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
(4/24/2025)
(4/24/2025)
(4/24/2025)
(4/24/2025)
(4/24/2025)
(4/24/2025)
(4/24/2025)
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 |
| 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 |
| ROSENFELD, KEVIN | HEAD OF PRIVACORE SALES | 2989217 |
| 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.
