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JC

Joseph F. Cusick

CALAMOS ADVISORS LLC
NAPERVILLE, IL 60563-2787
Some features on this profile are disabled
CRD#: 4466006
JC

Professional summary

Joseph F Cusick, who also goes by Joseph Francis Cusick III, is a registered financial advisor currently at CALAMOS ADVISORS LLC located in Naperville, Illinois and CALAMOS WEALTH MANAGEMENT LLC located in Naperville, Illinois.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Joseph has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Joseph Francis Cusick Iii

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 Joseph F Cusick'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 12, 2019 - Present

CALAMOS ADVISORS LLC

Office #1: 2020 Calamos Court, Naperville, IL 60563-2787
RIA
CRD#: 105758
NAPERVILLE, IL
Current

March 24, 2021 - Present

CALAMOS WEALTH MANAGEMENT LLC

Office #1: 2020 Calamos Court, Naperville, IL 60563-2787
RIA
CRD#: 143490
NAPERVILLE, IL
Current

March 13, 2019 - Present

CALAMOS FINANCIAL SERVICES LLC

Office #1: 215 North Peoria Street #600/1100/1200, Chicago, IL 60607
BD
CRD#: 19850
Chicago, IL
Past

March 11, 2015 - October 12, 2017

TRADINGBLOCK

RIA
CRD#: 128605
CHICAGO, IL
Past

January 15, 2014 - October 12, 2017

TRADINGBLOCK

BD
CRD#: 128605
CHICAGO, IL
Past

January 28, 2013 - October 24, 2013

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

May 10, 2004 - December 15, 2009

BROKERSXPRESS LLC

BD
CRD#: 127081
CHICAGO, IL
Past

November 2, 2001 - October 24, 2013

OPTIONSXPRESS, INC.

BD
CRD#: 103849
CHICAGO, IL

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".
CA
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.
RR
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

IAR
Illinois
(3/12/2019)
RR
Illinois
(3/13/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/9/2015
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/18/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/12/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/1/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/11/2002
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CA
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts1,662
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.

Company Information

CALAMOS ADVISORS LLC

CRD#: 105758Naperville, IL 60563-2787

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