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CO

Cathleen M. Oken

CALAMOS FINANCIAL SERVICES LLC
New York, NY 10020
Some features on this profile are disabled
CRD#: 1740713
CO

Professional summary

Cathleen Marie Oken, who also goes by Cathy Oken, is a registered financial professional currently at CALAMOS FINANCIAL SERVICES LLC located in New York, New York.

Cathleen is registered as a RR (Registered Representative) and started their career in finance in 1988. Cathleen has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cathy Oken

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Cathleen Marie Oken'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®
None

Experience

Current

March 17, 2011 - Present

CALAMOS FINANCIAL SERVICES LLC

Office #1: 50 Rockefeller Plaza Suite 1200/1600, New York, NY 10020
BD
CRD#: 19850
New York, NY
Past

June 14, 2004 - January 24, 2011

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
RICHMOND, VA
Past

February 5, 2003 - April 12, 2004

DIRECTED SERVICES LLC

BD
CRD#: 21675
WEST CHESTER, PA
Past

February 1, 1995 - December 16, 2002

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

August 31, 1989 - February 1, 1995

KEMPER FINANCIAL SERVICES, INC.

BD
CRD#: 798
Past

April 19, 1988 - August 1, 1989

WILLIAM BLAIR

BD
CRD#: 1252
CHICAGO, IL

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
Illinois
(3/17/2011)
RR
Maine
(5/9/2024)
RR
Massachusetts
(3/17/2011)
RR
New Hampshire
(3/17/2011)
RR
Rhode Island
(3/17/2011)
RR
Vermont
(5/9/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/18/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/16/1988
General Securities Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CALAMOS INVESTMENTS LLCSOLE MEMBER/MANAGER
KOUDOUNIS, JOHN SPIROPRESIDENT AND CHIEF EXECUTIVE OFFICER1878118
DUFRESNE, DANIEL LEOEVP, CHIEF OPERATING OFFICER2852606
HELMETAG, CHRISTIAN ALLANPRINCIPAL OPERATIONS OFFICER5282700
HELMETAG, CHRISTIAN ALLANFINANCIAL OPERATION PRINCIPAL5282700
KILEY, THOMAS PATRICKSVP CHIEF DISTRIBUTION OFFICER2869770
KILEY, THOMAS PATRICKPRINCIPAL EXECUTIVE OFFICER2869770
OJALA, ERIK DONALDGENERAL COUNSEL & SECRETARY4758365
SINKER, JACQUELINE ELIZABETHCHIEF COMPLIANCE OFFICER1471593

Disclosures

Regulatory Event1

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.

Company Information

CALAMOS FINANCIAL SERVICES LLC

CRD#: 19850New York, NY 10020

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