Carlos A. Soriano

CALAMOS ADVISORS LLC

Northbrook, IL

Some features on this profile are disabled

CRD#: 5021329

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.

1) PRIVATE CONDO; INVESTMENT RELATED; 5329 N KENMORE AVE, APT2, CHICAGO IL 60640; CONDO RENTAL; OWNER; STARTED 02/01/10; 1 HOUR/MONTH, NONE DURING TRADING HOURS; GENERAL LANDLORD DUTIES, WHICH ARE MINIMAL BECAUSE THE BUILDING'S ASSOCIATION MANAGEMENT TAKES CARE OF MOST.

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

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.

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

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.

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".

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.

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

Arizona
(9/28/2009)

California
(9/28/2009)

Florida
(9/28/2009)

Illinois
(9/28/2009)

IAR

Illinois
(12/17/2012)

New York
(9/28/2009)

Texas
(9/28/2009)

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: 11/18/2005

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: 11/3/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See 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)

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	1,662
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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Carlos A. Soriano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Alfonso Soriano's CRS (Customer Relationship Summary).

Certified licenses

Experience

CALAMOS FINANCIAL SERVICES LLC

CALAMOS WEALTH MANAGEMENT LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

CALAMOS ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/18/2005

SIE

Date: 10/1/2018

Series 7

Date: 11/3/2005

FINRA

Current Firm

CALAMOS ADVISORS LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CALAMOS ADVISORS LLC

TRUST BUT VERIFY

Similar Advisors