AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
CS

Carlos A. Soriano

CALAMOS ADVISORS
Northbrook, IL
Some features on this profile are disabled
CRD#: 5021329
CS

Professional summary

Carlos Alfonso Soriano, CIMA®, who also goes by Carlos A Soriano Salinas, Carlos Alfonso Soriano Salinas, is a registered financial advisor currently at CALAMOS ADVISORS LLC located in Northbrook, Illinois and CALAMOS FINANCIAL SERVICES LLC located in New York, New York.

Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Carlos has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Carlos A Soriano Salinas | Carlos Alfonso Soriano Salinas

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 Carlos Alfonso Soriano'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

December 17, 2012 - Present

CALAMOS ADVISORS LLC

RIA
CRD#: 105758
Northbrook, IL
Current

September 28, 2009 - Present

CALAMOS FINANCIAL SERVICES LLC

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

September 28, 2009 - December 12, 2012

CALAMOS WEALTH MANAGEMENT LLC

RIA
CRD#: 143490
NAPERVILLE, IL
Past

May 16, 2008 - April 2, 2009

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
CHICAGO, IL
Past

May 16, 2008 - April 2, 2009

OPPENHEIMER & CO. INC.

BD
CRD#: 249
CHICAGO, IL
Past

June 14, 2007 - May 22, 2008

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
CHICAGO, IL
Past

June 14, 2007 - May 22, 2008

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CHICAGO, IL
Past

November 21, 2005 - May 25, 2007

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
CHICAGO, IL
Past

November 4, 2005 - May 25, 2007

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
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

RR
Arizona
(9/28/2009)
RR
California
(9/28/2009)
RR
Florida
(9/28/2009)
RR
Illinois
(9/28/2009)
IAR
Illinois
(12/17/2012)
RR
New York
(9/28/2009)
RR
Texas
(9/28/2009)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/18/2005
Uniform Combined 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: 11/3/2005
General Securities Representative 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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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#: 105758Northbrook, IL

TRUST BUT VERIFY

Monitor Carlos Soriano

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.