RM
Ryan D. Moore
JANUS HENDERSON DISTRIBUTORS US LLC
Denver, CO 80206
Some features on this profile are disabled
CRD#: 5383688
RM
Professional summary
Ryan Douglas Moore, who also goes by Ryan Douglas Moore, Ryan Moore, is a registered financial professional currently at JANUS HENDERSON DISTRIBUTORS US LLC located in Denver, Colorado.
Ryan is registered as a RR (Registered Representative) and started their career in finance in 2009. Ryan has worked at 5 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ryan Douglas Moore | Ryan Moore
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.
Name: The Finance Committee of St. Joseph Corydon Indiana Position: Committee member Nature: In accordance with Canon 537 of the code of Canon Law it shall be the responsibility of the committee to ''aid the pastor in the administrative of parish goods'' possessing a consultative voice only and governed by norms determined by the archdiocesan bishop (#536.2)�Investment Related: No���Hours:�1� Securities Trading Hours:�0�� Start Date: 9/15/2021 Address: 312 E. High Street, Corydon, IN 47112 Description: The committee shall have the responsibilities which include but are not limited to developing and overseeing a parish budget process providing for financial controls and analysis of financial reports review and approval of annual operating budgets and new facility expenditures review of extraordinary expenditures exceeding $5 000 and review of investment policies for liquid assets of the parish. The committee shall provide necessary assurances and periodic reports to the parish relative to the parish fi
CRS (Client Relationship Summary) - BD
Click below to view Ryan Douglas Moore'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
March 28, 2025 - Present
JANUS HENDERSON DISTRIBUTORS US LLC
Office #1: 151 Detroit Street, Denver, CO 80206BD
CRD#: 28832
Denver, CO
Past
February 11, 2020 - March 17, 2025
NUVEEN ASSET MANAGEMENT, LLC
RIA
CRD#: 155584
CHICAGO, IL
Past
February 11, 2020 - March 17, 2025
NUVEEN SECURITIES, LLC
BD
CRD#: 469
CHICAGO, IL
Past
June 11, 2018 - January 29, 2020
LORD ABBETT DISTRIBUTOR LLC
BD
CRD#: 530
JERSEY CITY, NJ
Past
April 25, 2013 - May 14, 2018
CAPITAL CLIENT GROUP, INC.
RIA
CRD#: 6247
LOS ANGELES, CA
Past
November 16, 2009 - May 14, 2018
CAPITAL CLIENT GROUP, INC.
BD
CRD#: 6247
LOS ANGELES, CA
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
Alabama(3/28/2025)
RR
Arkansas(3/28/2025)
RR
Colorado(3/28/2025)
RR
Florida(3/28/2025)
RR
Georgia(3/28/2025)
RR
Illinois(3/28/2025)
RR
Indiana(3/28/2025)
RR
Iowa(3/28/2025)
RR
Kansas(3/28/2025)
RR
Kentucky(3/28/2025)
RR
Louisiana(3/28/2025)
RR
Michigan(3/28/2025)
RR
Minnesota(3/28/2025)
RR
Mississippi(3/28/2025)
RR
Missouri(3/28/2025)
RR
Nebraska(3/28/2025)
RR
Ohio(3/28/2025)
RR
Oklahoma(3/28/2025)
RR
Tennessee(3/28/2025)
RR
West Virginia(3/28/2025)
RR
Wisconsin(3/28/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/26/2020
General Securities Representative ExaminationGeneral 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
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.
