Douglas E. Berman

CALAMOS ADVISORS LLC

Jupiter, FL

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CRD#: 2813429

Professional summary

Douglas Evan Berman is a registered financial advisor currently at CALAMOS ADVISORS LLC located in Jupiter, Florida and CALAMOS FINANCIAL SERVICES LLC located in Naperville, Illinois.

Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Douglas has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Douglas Evan Berman'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

March 4, 2013 - Present

CALAMOS ADVISORS LLC

RIA

CRD#: 105758

Jupiter, FL

Current

March 4, 2013 - Present

CALAMOS FINANCIAL SERVICES LLC

Office #1: 2020 Calamos Court, Naperville, IL 60563

CRD#: 19850

NAPERVILLE, IL

Past

April 11, 2011 - November 14, 2011

ALPS DISTRIBUTORS, INC.

CRD#: 16853

DENVER, CO

Past

April 30, 2009 - April 5, 2011

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

January 5, 2006 - February 12, 2009

LAZARD ASSET MANAGEMENT SECURITIES LLC

CRD#: 129119

NEW YORK, NY

Past

May 2, 2003 - June 7, 2004

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

April 25, 2001 - May 14, 2003

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

DENVER, CO

Past

March 30, 2001 - May 14, 2003

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 5, 1996 - April 12, 2001

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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 ADVISORS LLC

CALAMOS ADVISORS LLC | CALAMOS ASSET MANAGEMENT INC | CALAMOS ARISTA PARTNERS

CRD#: 105758 / SEC#: 801-29688

RIA

Registered Investment Advisory firm - (5/29/1987 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

Florida
(3/4/2013)

IAR

Illinois
(3/4/2013)

Illinois
(7/2/2013)

New Jersey
(2/8/2021)

Puerto Rico
(3/4/2013)

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 65

Date: 1/2/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/9/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/3/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 6/23/2000

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

CALAMOS ADVISORS LLC

CALAMOS ADVISORS LLC | CALAMOS ASSET MANAGEMENT INC | CALAMOS ARISTA PARTNERS

CRD#: 105758 / SEC#: 801-29688

RIA

Registered Investment Advisory firm - (5/29/1987 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

257

SEC notice filing (51 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	1,662
AUM (Assets Under Management)	$ 38,184,222,669

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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Firm Stability Insights

Douglas E. Berman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Evan Berman's CRS (Customer Relationship Summary).

Certified licenses

Experience

CALAMOS FINANCIAL SERVICES LLC

ALPS DISTRIBUTORS, INC.

TRANSAMERICA CAPITAL, LLC

LAZARD ASSET MANAGEMENT SECURITIES LLC

ROUND HILL SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

CALAMOS ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/2/1997

Series 63

Date: 12/9/1996

SIE

Date: 10/1/2018

Series 7

Date: 12/3/1996

Series 9

Date: 6/23/2000

FINRA

Current Firm

CALAMOS ADVISORS LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CALAMOS ADVISORS LLC

TRUST BUT VERIFY

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