Daniel L. Dufresne
Professional summary
Daniel Leo Dufresne, who also goes by Dan Dufresne, Daniel Leo Dufresne, Daniel Dufresne, is a registered financial professional currently at CALAMOS FINANCIAL SERVICES LLC located in Naperville, Illinois.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 1999. Daniel has worked at 8 firms and has passed the Series 99TO, Series 57TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Leo Dufresne's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 11, 2021 - Present
CALAMOS FINANCIAL SERVICES LLC
Office #1: 2020 Calamos Court, Naperville, IL 60563January 2, 2018 - October 1, 2020
CITADEL SECURITIES INSTITUTIONAL LLC
April 7, 2015 - October 1, 2020
CITADEL CLEARING LLC
January 26, 2009 - October 1, 2020
CITADEL SECURITIES LLC
September 16, 2004 - October 1, 2020
PALAFOX TRADING LLC
May 14, 2001 - November 7, 2005
ARAGON INVESTMENTS, LTD.
April 20, 2000 - March 26, 2009
CITADEL TRADING GROUP L.L.C.
January 25, 1999 - August 20, 1999
D. E. SHAW INVESTMENTS, L.P.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamFINRA
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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