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JM

James L. Mitchell

CALAMOS FINANCIAL SERVICES
NAPERVILLE, IL 60563
Some features on this profile are disabled
CRD#: 5473230
JM
James Lawrence MitchellCALAMOS FINANCIAL SERVICES

Professional summary

James Lawrence Mitchell, who also goes by James L Mitchell, is a registered financial professional currently at CALAMOS FINANCIAL SERVICES LLC located in Naperville, Illinois.

James is registered as a RR (Registered Representative) and started their career in finance in 2008. James has worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 3 and Series 7 exams.

Aliases

James L Mitchell

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 James Lawrence Mitchell'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

September 16, 2026 - Present

CALAMOS FINANCIAL SERVICES LLC

Office #1: 2020 Calamos Court, Naperville, IL 60563
BD
CRD#: 19850
NAPERVILLE, IL
Past

December 8, 2014 - September 22, 2017

BMO INVESTMENT DISTRIBUTORS, LLC

BD
CRD#: 146711
CHICAGO, IL
Past

February 22, 2008 - February 5, 2014

NORTHERN TRUST SECURITIES, INC.

BD
CRD#: 7927
CHICAGO, IL

State Registrations and Notice Filings

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

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
Colorado
(9/18/2026)
RR
Connecticut
(9/21/2026)
RR
District of Columbia
(9/18/2026)
RR
Florida
(9/18/2026)
RR
Idaho
(9/24/2026)
RR
Louisiana
(9/18/2026)
RR
Maryland
(9/18/2026)
RR
Puerto Rico
(9/18/2026)

Exams

What does exam status mean?
State Security Law Exam
RR
Series 63
Status Unavailable
Passed: 7/25/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Status Unavailable
Passed: 9/16/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Status Unavailable
Passed: 6/25/2026
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Status Unavailable
Passed: 8/15/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Status Unavailable
Passed: 2/21/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CF
CALAMOS FINANCIAL SERVICES LLC
CALAMOS FINANCIAL SERVICES LLC | CALAMOS FINANCIAL SERVICES, INC.

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

BD
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
Medium
# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
CALAMOS INVESTMENTS LLCSOLE MEMBER/MANAGER
KOUDOUNIS, JOHN SPIROPRESIDENT AND CHIEF EXECUTIVE OFFICER1878118
DUFRESNE, DANIEL LEOEVP, CHIEF OPERATING OFFICER2852606
HELMETAG, CHRISTIAN ALLANFINANCIAL OPERATION PRINCIPAL5282700
HELMETAG, CHRISTIAN ALLANPRINCIPAL OPERATIONS OFFICER5282700
KILEY, THOMAS PATRICKSVP CHIEF DISTRIBUTION OFFICER2869770
KILEY, THOMAS PATRICKPRINCIPAL EXECUTIVE OFFICER2869770
OJALA, ERIK DONALDSVP, CHIEF COMPLIANCE OFFICER4758365
OJALA, ERIK DONALDGENERAL COUNSEL & SECRETARY4758365

Disclosures

Regulatory Event1

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 FINANCIAL SERVICES LLC

CRD#: 19850Naperville, IL 60563

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