JM
John M. Miller
CALAMOS FINANCIAL SERVICES LLC
NAPERVILLE, IL 60563
Some features on this profile are disabled
CRD#: 1149193
JM
Professional summary
John Michael Miller, who also goes by Mike Miller, is a registered financial professional currently at CALAMOS FINANCIAL SERVICES LLC located in Naperville, Illinois.
John is registered as a RR (Registered Representative) and started their career in finance in 1983. John has worked at 8 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7, Series 6 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mike Miller
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 John Michael Miller'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
November 12, 2021 - Present
CALAMOS FINANCIAL SERVICES LLC
Office #1: 2020 Calamos Court, Naperville, IL 60563BD
CRD#: 19850
NAPERVILLE, IL
Past
December 7, 2017 - February 15, 2019
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
BD
CRD#: 154559
Portland, OR
Past
August 29, 2006 - January 26, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
VANCOUVER, WA
Past
August 29, 2006 - January 26, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
VANCOUVER, WA
Past
August 23, 2004 - March 22, 2006
INVESMART SECURITIES, LLC
BD
CRD#: 104168
PORTLAND, OR
Past
June 4, 2004 - March 22, 2006
INVESMART ADVISORS INC
RIA
CRD#: 108731
PORTLAND, OR
Past
October 12, 1987 - March 5, 1999
FEDERATED SECURITIES CORP.
BD
CRD#: 5009
PITTSBURGH, PA
Past
November 11, 1986 - May 26, 1987
KOMINZ COMPANY SECURITIES, INC.
BD
CRD#: 18001
Past
October 15, 1985 - November 5, 1985
MCNEIL SECURITIES CORPORATION
BD
CRD#: 5907
Past
June 24, 1983 - November 29, 1984
FEDERATED SECURITIES CORP.
BD
CRD#: 5009
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(2/8/2023)
RR
Alaska(2/15/2023)
RR
Arizona(2/24/2023)
RR
Arkansas(2/21/2023)
RR
California(2/8/2023)
RR
Colorado(2/8/2023)
RR
Connecticut(2/8/2023)
RR
Delaware(2/10/2023)
RR
District of Columbia(2/14/2023)
RR
Florida(2/8/2023)
RR
Georgia(2/9/2023)
RR
Hawaii(3/6/2023)
RR
Idaho(2/8/2023)
RR
Illinois(2/16/2023)
RR
Indiana(5/15/2023)
RR
Iowa(2/10/2023)
RR
Kansas(2/8/2023)
RR
Kentucky(2/9/2023)
RR
Louisiana(2/10/2023)
RR
Maine(2/8/2023)
RR
Maryland(2/9/2023)
RR
Massachusetts(2/7/2023)
RR
Michigan(2/10/2023)
RR
Minnesota(2/7/2023)
RR
Mississippi(2/9/2023)
RR
Missouri(2/8/2023)
RR
Montana(2/14/2023)
RR
Nebraska(2/7/2023)
RR
Nevada(2/14/2023)
RR
New Hampshire(2/16/2023)
RR
New Jersey(2/8/2023)
RR
New Mexico(2/8/2023)
RR
New York(2/9/2023)
RR
North Carolina(2/8/2023)
RR
North Dakota(2/14/2023)
RR
Ohio(2/8/2023)
RR
Oklahoma(2/8/2023)
RR
Oregon(2/9/2023)
RR
Pennsylvania(2/8/2023)
RR
Puerto Rico(2/16/2023)
RR
Rhode Island(2/9/2023)
RR
South Carolina(2/13/2023)
RR
South Dakota(2/8/2023)
RR
Tennessee(2/8/2023)
RR
Texas(2/8/2023)
RR
Utah(2/8/2023)
RR
Vermont(2/8/2023)
RR
Virgin Islands(2/8/2023)
RR
Virginia(2/8/2023)
RR
Washington(6/6/2022)
RR
West Virginia(2/9/2023)
RR
Wisconsin(2/8/2023)
RR
Wyoming(2/9/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/12/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CF
CALAMOS FINANCIAL SERVICES LLC
CALAMOS FINANCIAL SERVICES LLC | CALAMOS FINANCIAL SERVICES, INC.
CRD#: 19850 / SEC#: , 8-37854
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
2020 Calamos Court, Naperville, IL 60563-2787
Mailing Address
2020 Calamos Court, Naperville, IL 60563-2787
Phone number
(630) 245-7200
Established
Delaware since 09/15/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CALAMOS INVESTMENTS LLC | SOLE MEMBER/MANAGER | |
| KOUDOUNIS, JOHN SPIRO | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1878118 |
| DUFRESNE, DANIEL LEO | EVP, CHIEF OPERATING OFFICER | 2852606 |
| HELMETAG, CHRISTIAN ALLAN | PRINCIPAL OPERATIONS OFFICER | 5282700 |
| HELMETAG, CHRISTIAN ALLAN | FINANCIAL OPERATION PRINCIPAL | 5282700 |
| KILEY, THOMAS PATRICK | SVP CHIEF DISTRIBUTION OFFICER | 2869770 |
| KILEY, THOMAS PATRICK | PRINCIPAL EXECUTIVE OFFICER | 2869770 |
| OJALA, ERIK DONALD | GENERAL COUNSEL & SECRETARY | 4758365 |
| SINKER, JACQUELINE ELIZABETH | CHIEF COMPLIANCE OFFICER | 1471593 |
Disclosures
| Regulatory Event | 1 |
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.
