Tony D. Nguyen

CALAMOS FINANCIAL SERVICES LLC

New York, NY 10020

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CRD#: 5162329

Professional summary

Tony D Nguyen, who also goes by Tony D Nguyen, is a registered financial professional currently at CALAMOS FINANCIAL SERVICES LLC located in New York, New York.

Tony is registered as a RR (Registered Representative) and started their career in finance in 2007. Tony has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tony D Nguyen

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 Tony D Nguyen'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

August 8, 2025 - Present

CALAMOS FINANCIAL SERVICES LLC

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

CRD#: 19850

New York, NY

Past

May 2, 2023 - August 12, 2025

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Past

August 18, 2016 - April 21, 2023

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

NEWPORT BEACH, CA

Past

August 8, 2007 - July 14, 2016

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

LADERA RANCH, CA

State Registrations and Notice Filings

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

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
(8/8/2025)

California
(8/8/2025)

Hawaii
(8/8/2025)

Nevada
(8/8/2025)

New Mexico
(8/8/2025)

Utah
(8/8/2025)

Exams

State Security Law Exam

Series 63

Date: 5/12/2023

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/5/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/6/2007

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/19/2011

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CALAMOS FINANCIAL SERVICES LLC

CALAMOS FINANCIAL SERVICES LLC | CALAMOS FINANCIAL SERVICES, INC.

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

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)

Documents

Direct owners and executive officers

Name	Position	CRD#
CALAMOS INVESTMENTS LLC	SOLE MEMBER/MANAGER
KOUDOUNIS, JOHN SPIRO	PRESIDENT AND CHIEF EXECUTIVE OFFICER	1878118
DUFRESNE, DANIEL LEO	EVP, CHIEF OPERATING OFFICER	2852606
HELMETAG, CHRISTIAN ALLAN	PRINCIPAL OPERATIONS OFFICER	5282700
HELMETAG, CHRISTIAN ALLAN	FINANCIAL OPERATION PRINCIPAL	5282700
KILEY, THOMAS PATRICK	SVP CHIEF DISTRIBUTION OFFICER	2869770
KILEY, THOMAS PATRICK	PRINCIPAL EXECUTIVE OFFICER	2869770
OJALA, ERIK DONALD	GENERAL COUNSEL & SECRETARY	4758365
SINKER, JACQUELINE ELIZABETH	CHIEF COMPLIANCE OFFICER	1471593

Disclosures

Regulatory Event

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

Tony D. Nguyen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tony D Nguyen's CRS (Customer Relationship Summary).

Certified licenses

Experience

VANGUARD MARKETING CORPORATION

PACIFIC SELECT DISTRIBUTORS, LLC

METLIFE INVESTORS DISTRIBUTION COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 5/12/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/5/2008

Series 6

Date: 8/6/2007

Series 24

Date: 3/19/2011

FINRA

Current Firm

CALAMOS FINANCIAL SERVICES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CALAMOS FINANCIAL SERVICES LLC

TRUST BUT VERIFY

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