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SS

Stephen L. Simons

CALAMOS FINANCIAL SERVICES LLC
New York, NY 10020
Some features on this profile are disabled
CRD#: 4526902
SS

Professional summary

Stephen Lee Simons, who also goes by Stephen Lee Simons, Steve Lee Simons, Steve Simons, is a registered financial professional currently at CALAMOS FINANCIAL SERVICES LLC located in New York, New York.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2002. Stephen has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen Lee Simons | Steve Lee Simons | Steve Simons

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) - BD

Click below to view Stephen Lee Simons's 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

December 16, 2024 - Present

CALAMOS FINANCIAL SERVICES LLC

Office #1: 50 Rockefeller Plaza Suite 1200/1600, New York, NY 10020
BD
CRD#: 19850
New York, NY
Past

December 14, 2011 - December 17, 2024

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
MALVERN, PA
Past

January 1, 2010 - December 5, 2011

INVESCO ADVISERS, INC.

RIA
CRD#: 105360
ATLANTA, GA
Past

October 17, 2006 - January 1, 2010

INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.

RIA
CRD#: 109264
HOUSTON, TX
Past

October 17, 2006 - December 5, 2011

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
HOUSTON, TX
Past

February 11, 2005 - October 16, 2006

MERRILL LYNCH INVESTMENT MANAGERS LP

RIA
CRD#: 105068
HERMITAGE, TN
Past

February 11, 2005 - October 16, 2006

FAM DISTRIBUTORS, INC.

BD
CRD#: 4100
NEW YORK, NY
Past

March 15, 2004 - May 25, 2004

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

RIA
CRD#: 39805
LISLE, IL
Past

March 15, 2004 - January 3, 2005

GUGGENHEIM INVESTMENTS

RIA
CRD#: 129288
LISLE, IL
Past

March 10, 2004 - January 3, 2005

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

BD
CRD#: 39805
CHICAGO, IL
Past

December 19, 2003 - March 23, 2004

GOLDMAN SACHS & CO. LLC

RIA
CRD#: 361
CHICAGO, IL
Past

August 21, 2002 - March 23, 2004

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

May 8, 2002 - August 22, 2002

BRECEK & YOUNG ADVISORS, INC.

BD
CRD#: 40395
FOLSOM, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

RR
Alabama
(12/16/2024)
RR
Arkansas
(4/9/2025)
RR
Florida
(12/16/2024)
RR
Georgia
(12/16/2024)
RR
Illinois
(12/16/2024)
RR
Louisiana
(4/9/2025)
RR
Mississippi
(12/16/2024)
RR
North Carolina
(12/16/2024)
RR
South Carolina
(12/16/2024)
RR
Tennessee
(12/16/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/4/2002
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/3/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/7/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/7/2002
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CF
CALAMOS FINANCIAL SERVICES LLC
CALAMOS FINANCIAL SERVICES LLC | CALAMOS FINANCIAL SERVICES, INC.

CRD#: 19850 / SEC#: , 8-37854

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
2020 Calamos Court, Naperville, IL 60563-2787
Mailing Address
2020 Calamos Court, Naperville, IL 60563-2787
Phone number
(630) 245-7200
Established
Delaware since 09/15/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CALAMOS INVESTMENTS LLCSOLE MEMBER/MANAGER
KOUDOUNIS, JOHN SPIROPRESIDENT AND CHIEF EXECUTIVE OFFICER1878118
DUFRESNE, DANIEL LEOEVP, CHIEF OPERATING OFFICER2852606
HELMETAG, CHRISTIAN ALLANPRINCIPAL OPERATIONS OFFICER5282700
HELMETAG, CHRISTIAN ALLANFINANCIAL OPERATION PRINCIPAL5282700
KILEY, THOMAS PATRICKSVP CHIEF DISTRIBUTION OFFICER2869770
KILEY, THOMAS PATRICKPRINCIPAL EXECUTIVE OFFICER2869770
OJALA, ERIK DONALDGENERAL COUNSEL & SECRETARY4758365
SINKER, JACQUELINE ELIZABETHCHIEF COMPLIANCE OFFICER1471593

Disclosures

Regulatory Event1

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 FINANCIAL SERVICES LLC

CRD#: 19850New York, NY 10020

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