Kathryn Swain

CALAMOS WEALTH MANAGEMENT

NEW YORK, NY 10020

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CRD#: 2591079

Professional summary

Kathryn Swain, who also goes by Chris Swain, Christopher Swain, Kathryn Kristen Swain, Robert Christopher Swain, Robert Christopher Christopher Swain, is a registered financial advisor currently at CALAMOS WEALTH MANAGEMENT LLC located in New York, New York and CALAMOS FINANCIAL SERVICES LLC located in New York, New York.

Kathryn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Kathryn has worked at 10 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 8 exams.

Aliases

Chris Swain | Christopher Swain | Kathryn Kristen Swain | Robert Christopher Swain | Robert Christopher Christopher Swain

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) - RIA

Click below to view Kathryn Swain's CRS (Customer Relationship Summary).

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

July 24, 2026 - Present

CALAMOS WEALTH MANAGEMENT LLC

Office #1: 50 Rockefeller Plaza 11th Floor, Suite 1101, New York, NY 10020

RIA

CRD#: 143490

NEW YORK, NY

Current

July 24, 2026 - Present

CALAMOS FINANCIAL SERVICES LLC

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

CRD#: 19850

New York, NY

Past

June 25, 2025 - July 14, 2026

LPL ENTERPRISE, LLC

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CALAMOS WEALTH MANAGEMENT LLC

CRD#: 143490 / SEC#: 801-67787

RIA

Registered Investment Advisory firm - (4/25/2007 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Illinois
(7/24/2026)

IAR

Illinois
(7/24/2026)

New York
(7/24/2026)

IAR

New York
(7/24/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Series 8

Date: 10/20/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

CALAMOS WEALTH MANAGEMENT LLC

CRD#: 143490 / SEC#: 801-67787

RIA

Registered Investment Advisory firm - (4/25/2007 Approved)

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Contact information

Main Address

2020 Calamos Court, Naperville, IL 60563-2787

Mailing Address

Phone number

(630) 245-7200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV: FIRM BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	3,434
AUM (Assets Under Management)	$ 4,090,678,284

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.

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Advisor Monitoring

Firm Stability Insights

Kathryn Swain

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathryn Swain's CRS (Customer Relationship Summary).

Certified licenses

Experience

CALAMOS FINANCIAL SERVICES LLC

LPL ENTERPRISE, LLC

LPL ENTERPRISE, LLC

LGBTQINVEST, LLC

CHURCHILL MANAGEMENT GROUP

ADVANCED EQUITIES, INC.

FEDERATED SECURITIES CORP.

FEDERATED INVESTMENT COUNSELING

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CALAMOS WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/25/2025

Series 65

Date: 5/15/1995

Series 63

Date: 4/28/1995

Series 7TO

Date: 5/29/2025

SIE

Date: 4/23/2025

Series 7

Date: 4/11/1995

Series 8

Date: 10/20/1998

FINRA

Current Firm

CALAMOS WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CALAMOS WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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