TL
Thomas Leahy
CALAMOS FINANCIAL SERVICES
New York, NY 10020
Some features on this profile are disabled
CRD#: 6101775
TL
Professional summary
Thomas Leahy, CFA, who also goes by Thomas Dominick Leahy, is a registered financial professional currently at CALAMOS FINANCIAL SERVICES LLC located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2012. Thomas has worked at 5 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Thomas Dominick Leahy
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.
CRS (Client Relationship Summary) - BD
Click below to view Thomas Leahy'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®
Experience
Current
October 29, 2024 - Present
CALAMOS FINANCIAL SERVICES LLC
Office #1: 50 Rockefeller Plaza Suite 1200/1600, New York, NY 10020BD
CRD#: 19850
New York, NY
Past
November 18, 2021 - September 17, 2024
CONDOR CAPITAL WEALTH MANAGEMENT
RIA
CRD#: 104920
MARTINSVILLE, NJ
Past
February 23, 2021 - August 19, 2021
BACKEND BENCHMARKING
RIA
CRD#: 288501
MARTINSVILLE, NJ
Past
October 11, 2012 - October 1, 2015
BLACKROCK INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 108928
PRINCETON, NJ
Past
August 16, 2012 - October 1, 2015
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
PRINCETON, NJ
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
Alabama(11/7/2024)
RR
Alaska(11/7/2024)
RR
Arizona(11/7/2024)
RR
Arkansas(11/7/2024)
RR
California(11/7/2024)
RR
Colorado(11/7/2024)
RR
Connecticut(11/7/2024)
RR
Delaware(11/7/2024)
RR
District of Columbia(11/7/2024)
RR
Florida(11/7/2024)
RR
Georgia(11/7/2024)
RR
Hawaii(11/7/2024)
RR
Idaho(11/7/2024)
RR
Illinois(11/7/2024)
RR
Indiana(11/7/2024)
RR
Iowa(11/7/2024)
RR
Kansas(11/7/2024)
RR
Kentucky(11/7/2024)
RR
Louisiana(11/7/2024)
RR
Maine(11/7/2024)
RR
Maryland(11/7/2024)
RR
Massachusetts(11/7/2024)
RR
Michigan(11/7/2024)
RR
Minnesota(11/7/2024)
RR
Mississippi(11/7/2024)
RR
Missouri(11/7/2024)
RR
Montana(11/7/2024)
RR
Nebraska(11/7/2024)
RR
Nevada(11/7/2024)
RR
New Hampshire(11/7/2024)
RR
New Jersey(11/7/2024)
RR
New Mexico(11/7/2024)
RR
New York(11/7/2024)
RR
North Carolina(11/7/2024)
RR
North Dakota(11/7/2024)
RR
Ohio(11/8/2024)
RR
Oklahoma(11/7/2024)
RR
Oregon(11/7/2024)
RR
Pennsylvania(11/7/2024)
RR
Puerto Rico(11/7/2024)
RR
Rhode Island(11/7/2024)
RR
South Carolina(11/7/2024)
RR
South Dakota(11/7/2024)
RR
Tennessee(11/7/2024)
RR
Texas(11/7/2024)
RR
Utah(11/7/2024)
RR
Vermont(11/7/2024)
RR
Virgin Islands(11/7/2024)
RR
Virginia(11/7/2024)
RR
Washington(11/7/2024)
RR
West Virginia(11/7/2024)
RR
Wisconsin(11/7/2024)
RR
Wyoming(11/7/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/29/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)
Loading...
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 | 1 |
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.
