Samantha J. Shroba
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Samantha Jane Shroba, who also goes by Samantha Jane Hurd, was a registered financial professional .
Samantha is a previously registered financial professional and started their career in finance in 2006. Samantha had worked at 5 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2012 - February 21, 2013
CALAMOS ADVISORS LLC
January 19, 2010 - December 12, 2012
CALAMOS WEALTH MANAGEMENT LLC
January 19, 2010 - February 21, 2013
CALAMOS FINANCIAL SERVICES LLC
January 1, 2008 - April 17, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - April 17, 2009
WELLS FARGO CLEARING SERVICES, LLC
May 9, 2006 - January 1, 2008
A. G. EDWARDS & SONS, INC.
March 27, 2006 - January 3, 2008
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
CALAMOS ADVISORS LLC
CRD#: 105758 / SEC#: 801-29688
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CALAMOS ADVISORS LLC
CRD#: 105758 / SEC#: 801-29688
Contact information
SEC notice filing (51 States and Territories)
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.
