John M. Miller
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Michael Miller, who also goes by Mike Miller, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had 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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2021 - February 11, 2026
CALAMOS FINANCIAL SERVICES LLC
December 7, 2017 - February 15, 2019
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
August 29, 2006 - January 26, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 29, 2006 - January 26, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 23, 2004 - March 22, 2006
INVESMART SECURITIES, LLC
June 4, 2004 - March 22, 2006
INVESMART ADVISORS INC
October 12, 1987 - March 5, 1999
FEDERATED SECURITIES CORP.
November 11, 1986 - May 26, 1987
KOMINZ COMPANY SECURITIES, INC.
October 15, 1985 - November 5, 1985
MCNEIL SECURITIES CORPORATION
June 24, 1983 - November 29, 1984
FEDERATED SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 11/12/2021
General Securities Representative ExaminationCurrent Firm
CALAMOS FINANCIAL SERVICES LLC
CRD#: 19850 / SEC#: , 8-37854
Contact information
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
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