AS
Azar M. Swain
JANUS HENDERSON DISTRIBUTORS US LLC
New York, NY 10018
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CRD#: 7579599
AS
Professional summary
Azar M Swain, who also goes by Azar M Swain, is a registered financial professional currently at JANUS HENDERSON DISTRIBUTORS US LLC located in New York, New York.
Azar is registered as a RR (Registered Representative) and started their career in finance in 2022. Azar has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Azar M Swain
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.
CRS (Client Relationship Summary) - BD
Click below to view Azar M Swain'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
January 9, 2024 - Present
JANUS HENDERSON DISTRIBUTORS US LLC
Office #1: 1411 Broadway Floor 17, New York, NY 10018BD
CRD#: 28832
New York, NY
Past
November 28, 2022 - January 9, 2024
MORGAN STANLEY
RIA
CRD#: 149777
New York, NY
Past
November 14, 2022 - January 9, 2024
MORGAN STANLEY
BD
CRD#: 149777
New York, NY
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(1/24/2024)
RR
Alaska(1/24/2024)
RR
Arizona(1/9/2024)
RR
Arkansas(1/24/2024)
RR
California(1/9/2024)
RR
Colorado(1/9/2024)
RR
Connecticut(1/24/2024)
RR
Delaware(1/24/2024)
RR
District of Columbia(1/24/2024)
RR
Florida(1/24/2024)
RR
Georgia(1/24/2024)
RR
Hawaii(1/9/2024)
RR
Idaho(1/9/2024)
RR
Illinois(1/24/2024)
RR
Indiana(1/24/2024)
RR
Iowa(1/24/2024)
RR
Kansas(1/24/2024)
RR
Kentucky(1/24/2024)
RR
Louisiana(1/24/2024)
RR
Maine(1/24/2024)
RR
Maryland(1/24/2024)
RR
Massachusetts(1/24/2024)
RR
Michigan(1/24/2024)
RR
Minnesota(1/24/2024)
RR
Mississippi(1/24/2024)
RR
Missouri(1/24/2024)
RR
Montana(1/24/2024)
RR
Nebraska(1/24/2024)
RR
Nevada(1/9/2024)
RR
New Hampshire(1/24/2024)
RR
New Jersey(1/24/2024)
RR
New Mexico(1/9/2024)
RR
New York(1/9/2024)
RR
North Carolina(1/24/2024)
RR
North Dakota(1/24/2024)
RR
Ohio(1/25/2024)
RR
Oklahoma(1/24/2024)
RR
Oregon(1/9/2024)
RR
Pennsylvania(1/24/2024)
RR
Rhode Island(1/24/2024)
RR
South Carolina(1/24/2024)
RR
South Dakota(1/24/2024)
RR
Tennessee(1/24/2024)
RR
Texas(1/24/2024)
RR
Utah(1/9/2024)
RR
Vermont(1/24/2024)
RR
Virginia(1/24/2024)
RR
Washington(1/9/2024)
RR
West Virginia(1/24/2024)
RR
Wisconsin(1/24/2024)
RR
Wyoming(1/24/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/14/2022
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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