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Rick Stravato

Janus Henderson Distributors US LLC

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About Rick Stravato

Rick Stravato is a financial advisor with over 30 years of experience in the industry. Rick is currently registered with Janus Henderson Distributors US LLC and previously held positions with FRANKLIN DISTRIBUTORS, LLC, PIMCO INVESTMENTS LLC, ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC, and FIDELITY BROKERAGE SERVICES LLC. Rick holds a variety of licenses and certifications, including Series 3, 6, 7, 24, 63, and 66. Rick is registered to provide investment advice in all 50 states.

Firm Information

Rick Stravato is currently registered with Janus Henderson Distributors US LLC. Janus Henderson Distributors US LLC is a Limited Liability Company formed in 2002. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

332

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Rick Stravato’s Registration & Firm History

NY

02/21/2024 - Present

Janus Henderson Distributors US LLC (New York NY)

NY

06/23/2022 - 02/02/2024

FRANKLIN DISTRIBUTORS, LLC (New York NY)

NY

02/14/2011 - 06/16/2022

PIMCO INVESTMENTS LLC (NEW YORK NY)

NY

10/18/2005 - 02/14/2011

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC (NEW YORK NY)

RI

08/20/1993 - 10/17/2005

FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)

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Licenses & Designations

BOTH

Issued 12/08/2000

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/29/2022

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/28/2005

Series 3 - National Commodity Futures Examination

BC

Issued 04/08/1994

Series 7 - General Securities Representative Examination

BC

Issued 08/18/1993

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Rick Stravato.
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