Kishor Bhatia
Professional summary
Kishor Bhatia, who also goes by Kishor M Bhatia, is a registered financial professional currently at CALAMOS FINANCIAL SERVICES LLC located in Naperville, Illinois.
Kishor is registered as a RR (Registered Representative) and started their career in finance in 2013. Kishor has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kishor Bhatia's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 5, 2024 - Present
CALAMOS FINANCIAL SERVICES LLC
Office #1: 2020 Calamos Court, Naperville, IL 60563December 18, 2020 - October 12, 2023
NORTHERN TRUST SECURITIES, INC.
September 27, 2017 - December 7, 2020
PRINCIPAL ASSET MANAGEMENT
September 19, 2017 - December 7, 2020
PRINCIPAL FUNDS DISTRIBUTOR, INC.
June 26, 2017 - August 16, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 26, 2017 - August 16, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 19, 2013 - June 5, 2017
MORGAN STANLEY
February 26, 2013 - June 5, 2017
MORGAN STANLEY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/5/2024)
Exams
FINRA
Current Firm
CALAMOS FINANCIAL SERVICES LLC
CRD#: 19850 / SEC#: , 8-37854
Contact information
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
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