David W. Nelson
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.
David William Nelson, who also goes by Dave Nelson, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1986. David had worked at 16 firms and has passed the Series 65, Series 63, Series 7TO, Series 99TO, SIE, Series 7, Series 27 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
February 1, 2013 - February 5, 2013
CALAMOS ADVISORS LLC
February 22, 2011 - April 9, 2020
CALAMOS FINANCIAL SERVICES LLC
October 29, 2007 - May 1, 2009
FORESIDE FUND SERVICES, LLC
March 14, 2006 - October 19, 2007
BOFA ADVISORS, LLC
February 27, 2006 - October 19, 2007
BOFA DISTRIBUTORS, INC.
August 5, 2002 - November 4, 2005
AIM PRIVATE ASSET MANAGEMENT
August 5, 2002 - November 4, 2005
INVESCO DISTRIBUTORS, INC.
April 26, 2000 - January 16, 2001
GPC SECURITIES, INC.
June 18, 1997 - November 22, 1999
COMPULIFE INVESTOR SERVICES, INC.
April 13, 1992 - November 22, 1999
IFG NETWORK SECURITIES, INC.
March 13, 1990 - December 31, 1992
PLANNED INVESTMENTS INC.
November 19, 1989 - December 7, 1989
OSAIC WEALTH, INC.
November 3, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
May 31, 1988 - November 3, 1988
CHRISTOPHER WEIL & COMPANY, INC
April 15, 1987 - May 27, 1988
INTERCAP FINANCIAL CORPORATION
November 12, 1986 - February 18, 1987
IFR SECURITIES, INC.
Primary Firm SEC Registration
CALAMOS ADVISORS LLC
CRD#: 105758 / SEC#: 801-29688
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: 12/12/2022
General Securities Representative ExaminationSeries 99TO
Date: 12/12/2022
Operations Professional ExaminationCurrent Firm
CALAMOS ADVISORS LLC
CRD#: 105758 / SEC#: 801-29688
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,662 |
| AUM (Assets Under Management) | $ 38,184,222,669 |
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.
