Mark J. Mickey
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.
Mark John Mickey was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1997. Mark had worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 9, Series 10, Series 27, Series 53, Series 4, Series 14, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2012 - January 21, 2026
CALAMOS ADVISORS LLC
December 10, 2003 - January 21, 2026
CALAMOS FINANCIAL SERVICES LLC
July 11, 1997 - January 10, 2002
ABN AMRO INCORPORATED
Primary Firm SEC Registration
CALAMOS ADVISORS LLC
CRD#: 105758 / SEC#: 801-29688
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 ExamSeries 55
Date: 2/3/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 8/15/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CALAMOS ADVISORS LLC
CRD#: 105758 / SEC#: 801-29688
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,662 |
| AUM (Assets Under Management) | $ 38,184,222,669 |
Red Flags
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