Robert R. Habl
Professional summary
Robert Rudolf Habl, who also goes by Robert R Habl, is a registered financial professional currently at CALAMOS FINANCIAL SERVICES LLC located in New York, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1996. Robert has worked at 14 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Rudolf Habl's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 26, 2015 - Present
CALAMOS FINANCIAL SERVICES LLC
Office #1: 50 Rockefeller Plaza Suite 1200/1600, New York, NY 10020May 9, 2012 - February 9, 2015
TRANSAMERICA CAPITAL, LLC
April 27, 2012 - May 9, 2012
WELLESLEY ASSET MANAGEMENT, INC.
March 1, 2012 - May 4, 2012
NORTHERN LIGHTS DISTRIBUTORS, LLC
April 7, 2010 - May 10, 2011
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
April 1, 2010 - May 10, 2011
MESIROW FINANCIAL, INC.
June 17, 2009 - June 8, 2010
MANULIFE INVESTMENT MANAGEMENT (US) LLC
June 17, 2009 - June 8, 2010
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
February 10, 2009 - April 13, 2010
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
October 6, 2003 - February 3, 2009
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
September 25, 2001 - July 31, 2003
MERRILL LYNCH INVESTMENT MANAGERS LP
August 25, 1999 - June 18, 2003
FAM DISTRIBUTORS, INC.
March 17, 1998 - August 20, 1999
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
February 23, 1996 - November 13, 1996
MORGAN STANLEY DW 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
(7/1/2016)
(2/26/2015)
(2/26/2015)
(12/5/2018)
(2/26/2015)
Exams
FINRA
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
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