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

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

Courtney L. Sprio

CALAMOS FINANCIAL SERVICES LLC
NAPERVILLE, IL 60563-2787
Some features on this profile are disabled
CRD#: 5566066
CS

Professional summary

Courtney L Sprio, who also goes by Courtney L Tumm, is a registered financial professional currently at CALAMOS FINANCIAL SERVICES LLC located in Naperville, Illinois.

Courtney is registered as a RR (Registered Representative) and started their career in finance in 2010. Courtney has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Courtney L Tumm

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 Courtney L Sprio'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

March 18, 2022 - Present

CALAMOS FINANCIAL SERVICES LLC

Office #1: 2020 Calamos Court, Naperville, IL 60563-2787
BD
CRD#: 19850
NAPERVILLE, IL
Past

June 9, 2016 - January 6, 2021

THORNBURG SECURITIES LLC

BD
CRD#: 14857
SANTA FE, NM
Past

June 13, 2014 - June 1, 2016

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
NEW YORK, NY
Past

May 26, 2011 - May 29, 2014

COHEN & STEERS SECURITIES, LLC

BD
CRD#: 29258
NEW YORK, NY
Past

May 3, 2010 - March 21, 2011

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
OSSINING, NY

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
Connecticut
(8/1/2024)
RR
Florida
(8/1/2024)
RR
Illinois
(3/18/2022)
RR
New Jersey
(8/1/2024)
RR
New York
(3/18/2022)
RR
South Carolina
(8/1/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 1/31/2011
Uniform Securities Agent 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: 5/1/2010
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)
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
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 ALLANPRINCIPAL OPERATIONS OFFICER5282700
HELMETAG, CHRISTIAN ALLANFINANCIAL OPERATION PRINCIPAL5282700
KILEY, THOMAS PATRICKSVP CHIEF DISTRIBUTION OFFICER2869770
KILEY, THOMAS PATRICKPRINCIPAL EXECUTIVE OFFICER2869770
OJALA, ERIK DONALDGENERAL COUNSEL & SECRETARY4758365
SINKER, JACQUELINE ELIZABETHCHIEF COMPLIANCE OFFICER1471593

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 60563-2787

TRUST BUT VERIFY

Monitor Courtney Sprio

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

Similar Advisors

JF
James FlanaganAdvisorCheck Check Mark
INDEPENDENT FINANCIAL GROUP, LLC
IAR
RR
Downers Grove, IL
FC
Flavia CardozoAdvisorCheck Check Mark
J.P. MORGAN SECURITIES LLC
IAR
RR
Naperville, IL
Justin John Dagostino
Justin DagostinoAdvisorCheck Check Mark
VERTEX PARTNERS
IAR
RR
Downers Grove, IL
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.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.