Michael L. Gallagher
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.
Michael Lawrence Gallagher, who also goes by Michael Gallagher, Mike Gallagher, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2006 - November 2, 2022
CALAMOS FINANCIAL SERVICES LLC
September 19, 2000 - October 10, 2002
DEAM INVESTOR SERVICES, INC.
December 24, 1998 - August 22, 2006
DWS DISTRIBUTORS, INC.
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
Current 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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