Evan F. Wald
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.
Evan Franklin Wald, CIMA® was a registered financial professional .
Evan is a previously registered financial professional and started their career in finance in 1992. Evan had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
December 17, 2012 - March 17, 2022
CALAMOS ADVISORS LLC
October 7, 2011 - December 12, 2012
CALAMOS WEALTH MANAGEMENT LLC
August 12, 2011 - March 17, 2022
CALAMOS FINANCIAL SERVICES LLC
January 17, 2008 - August 9, 2011
NATIONWIDE INVESTMENT SERVICES CORPORATION
June 30, 1997 - November 29, 2007
UBS FINANCIAL SERVICES INC.
August 18, 1992 - May 20, 1997
FLEET ENTERPRISES, INC.
April 10, 1992 - July 13, 1992
USLIFE EQUITY SALES CORP.
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
Current 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.
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