Stephen D. Perl

CALAMOS WEALTH MANAGEMENT LLC

New York, NY 10020

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CRD#: 3171813

Professional summary

Stephen David Perl, CIMA® is a registered financial advisor currently at CALAMOS WEALTH MANAGEMENT LLC located in New York, New York and CALAMOS FINANCIAL SERVICES LLC located in New York, New York.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Stephen has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 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 Stephen David Perl'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

May 9, 2014 - Present

CALAMOS WEALTH MANAGEMENT LLC

Office #1: 50 Rockerfeller Plaza Suite 1200/1600, New York, NY 10020

RIA

CRD#: 143490

New York, NY

Current

September 18, 2008 - Present

CALAMOS FINANCIAL SERVICES LLC

Office #1: 50 Rockefeller Plaza Suite 1200/1600, New York, NY 10020

CRD#: 19850

New York, NY

Past

December 17, 2012 - May 9, 2014

CALAMOS ADVISORS LLC

RIA

CRD#: 105758

NAPERVILLE, IL

Past

May 28, 2009 - December 12, 2012

CALAMOS WEALTH MANAGEMENT LLC

RIA

CRD#: 143490

NAPERVILLE, IL

Past

June 30, 2000 - June 23, 2008

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

NEW YORK, NY

Past

January 27, 1999 - June 30, 2000

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041

BOSTON, MA

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.

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

Illinois
(7/2/2013)

IAR

Illinois
(5/9/2014)

IAR

New York
(2/23/2021)

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: 5/27/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/28/1999

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: 1/26/1999

General Securities Representative Examination

SRO Registrations

FINRA

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

Stephen D. Perl

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen David Perl's CRS (Customer Relationship Summary).

Certified licenses

Experience

CALAMOS FINANCIAL SERVICES LLC

CALAMOS ADVISORS LLC

CALAMOS WEALTH MANAGEMENT LLC

FIDELITY BROKERAGE SERVICES LLC

NATIONAL FINANCIAL SERVICES LLC

Primary Firm SEC Registration

CALAMOS WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/27/2009

Series 63

Date: 9/28/1999

SIE

Date: 10/1/2018

Series 7

Date: 1/26/1999

FINRA

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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