Scott Steiner

CALAMOS WEALTH MANAGEMENT LLC

NAPERVILLE, IL 60563-2787

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CRD#: 4643468

Professional summary

Scott Steiner, CFP®, who also goes by Scott David Steiner, Scott Steiner, is a registered financial advisor currently at CALAMOS WEALTH MANAGEMENT LLC located in Naperville, Illinois and CALAMOS FINANCIAL SERVICES LLC located in Naperville, Illinois.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Scott has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott David Steiner | Scott Steiner

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 Scott Steiner'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®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

September 12, 2018 - Present

CALAMOS WEALTH MANAGEMENT LLC

Office #1: 2020 Calamos Court, Naperville, IL 60563-2787

RIA

CRD#: 143490

NAPERVILLE, IL

Current

September 12, 2018 - Present

CALAMOS FINANCIAL SERVICES LLC

Office #1: 2020 Calamos Court, Naperville, IL 60563

CRD#: 19850

NAPERVILLE, IL

Past

March 17, 2015 - August 24, 2018

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

CHICAGO, IL

Past

March 17, 2015 - August 24, 2018

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

CHICAGO, IL

Past

September 15, 2009 - March 18, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CHICAGO, IL

Past

September 15, 2009 - March 18, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CHICAGO, IL

Past

September 5, 2007 - May 29, 2009

EHLERT FINANCIAL GROUP, INC.

RIA

CRD#: 112150

LINCOLNSHIRE, IL

Past

February 7, 2006 - June 5, 2009

M HOLDINGS SECURITIES, INC.

CRD#: 43285

LINCOLNSHIRE, IL

Past

August 28, 2003 - January 10, 2006

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

DOWNERS GROVE, IL

Past

April 9, 2003 - January 10, 2006

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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
(9/12/2018)

IAR

Illinois
(9/12/2018)

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 66

Date: 4/14/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/7/2003

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

Scott Steiner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Steiner's CRS (Customer Relationship Summary).

Certified licenses

Experience

CALAMOS FINANCIAL SERVICES LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

EHLERT FINANCIAL GROUP, INC.

M HOLDINGS SECURITIES, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CALAMOS WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/14/2003

SIE

Date: 10/1/2018

Series 7

Date: 4/7/2003

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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