MA
Michael J. Adler
JANUS HENDERSON DISTRIBUTORS US LLC
Denver, CO 80206
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CRD#: 7086346
MA
Professional summary
Michael John Adler, who also goes by Michael Adler, 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 2020. Michael has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael Adler
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.
Fellowship of Christian Athletes (FCA Sports), Towson, MD, International non-profit Christian sports ministry. Youth Lacrosse Coach: Coaching youth lacrosse players throughout the year after work hours to teach the game of lacrosse. Compensated, 24 hrs./month, not Investment Related, 10/2022.
CRS (Client Relationship Summary) - BD
Click below to view Michael John Adler'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
July 23, 2024 - Present
JANUS HENDERSON DISTRIBUTORS US LLC
Office #1: 151 Detroit Street, Denver, CO 80206BD
CRD#: 28832
Denver, CO
Past
March 1, 2022 - July 22, 2024
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
Hunt Valley, MD
Past
March 1, 2022 - July 22, 2024
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
Hunt Valley, MD
Past
September 2, 2020 - March 2, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LUTHERVILLE, MD
Past
July 30, 2020 - March 2, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LUTHERVILLE, MD
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(7/23/2024)
RR
Connecticut(7/23/2024)
RR
Delaware(7/23/2024)
RR
Illinois(7/23/2024)
RR
Indiana(7/23/2024)
RR
Maine(7/23/2024)
RR
Maryland(7/23/2024)
RR
Massachusetts(7/23/2024)
RR
Michigan(7/23/2024)
RR
New Hampshire(7/23/2024)
RR
New Jersey(7/23/2024)
RR
New York(7/23/2024)
RR
Ohio(7/24/2024)
RR
Pennsylvania(7/23/2024)
RR
Rhode Island(7/23/2024)
RR
Vermont(7/23/2024)
RR
West Virginia(7/23/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/30/2020
General Securities Representative ExaminationGeneral 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)
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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)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
