Thomas J. Holleb

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CRD#: 2626831

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.

Thomas John Holleb, CPWA®, who also goes by Thomas Holleb, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1995. Thomas had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Holleb

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.

Beverly Country Club - 8700 S Western Ave Chicago IL 60603. I am the Governor. It is a voluntary position is not investment related. I oversee various country club committees at a Board level on behalf of the clubs' members. I have been in this position since 10/2017. I spend 3-4 hours per month on this activity and zero during trading hours.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CPWA^®

Certified Private Wealth Advisor

Experience

Past

February 7, 2022 - October 9, 2023

CALAMOS WEALTH MANAGEMENT LLC

RIA

CRD#: 143490

Chicago, IL

Past

December 4, 2017 - October 9, 2023

CALAMOS FINANCIAL SERVICES LLC

CRD#: 19850

Chicago, IL

Past

August 25, 2015 - November 14, 2017

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

CHICAGO, IL

Past

July 24, 2014 - August 12, 2015

GOLDMAN SACHS & CO. LLC

CRD#: 361

CHICAGO, IL

Past

October 22, 2012 - March 19, 2014

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

CHICAGO, IL

Past

June 27, 2011 - September 28, 2012

JEFFERIES LLC

CRD#: 2347

CHICAGO, IL

Past

September 22, 2008 - April 18, 2011

BARCLAYS CAPITAL INC.

CRD#: 19714

CHICAGO, IL

Past

August 16, 1995 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

CHICAGO, IL

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/2/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/29/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/16/2014

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/16/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/2/2006

General Securities Principal Examination

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

Thomas J. Holleb

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CALAMOS FINANCIAL SERVICES LLC

DEUTSCHE BANK SECURITIES INC.

GOLDMAN SACHS & CO. LLC

BNP PARIBAS SECURITIES CORP.

JEFFERIES LLC

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

CALAMOS WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/2/2014

Series 63

Date: 8/29/1995

SIE

Date: 10/1/2018

Series 3

Date: 9/16/2014

Series 7

Date: 6/16/1995

Series 24

Date: 5/2/2006

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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