Keith R. Watts
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.
Keith Randall Watts, who also goes by Keith R Watts, Keith Watts, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1996. Keith had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 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
March 17, 2023 - October 1, 2024
CALAMOS FINANCIAL SERVICES LLC
March 19, 2018 - February 23, 2023
CP INVESTMENTS, LLC
June 17, 2015 - March 8, 2018
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
July 31, 2014 - June 11, 2015
HATTERAS INVESTMENT PARTNERS, LP
February 28, 2014 - June 11, 2015
HATTERAS CAPITAL DISTRIBUTORS, LLC
February 25, 2014 - July 31, 2014
HATTERAS INVESTMENT PARTNERS LLC
August 27, 2013 - February 3, 2014
TRUE NORTH ADVISORS, LLC
September 10, 2012 - April 15, 2013
NEXBANK SECURITIES INC
May 9, 2011 - September 5, 2012
DESTRA CAPITAL INVESTMENTS LLC
April 6, 2010 - May 11, 2011
GOLDMAN SACHS & CO. LLC
September 15, 2005 - April 5, 2010
JANUS HENDERSON DISTRIBUTORS US LLC
March 12, 2003 - March 2, 2004
NATIONWIDE FUND DISTRIBUTORS LLC
June 14, 2001 - December 31, 2002
MAM SECURITIES, LLC
December 19, 2000 - April 30, 2001
SCUDDER WEISEL CAPITAL, LLC
July 11, 1996 - April 17, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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