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Stephen Frank Rossi

Stephen F. Rossi

CALAMOS WEALTH MANAGEMENT | Financial Consultant
San Francisco, CA 94108
Some features on this profile are disabled
CRD#: 6678496
Stephen Frank Rossi

Professional summary

Stephen Frank Rossi, who also goes by Stephen F Rossi, Stephen Rossi, is a registered financial advisor currently at CALAMOS WEALTH MANAGEMENT LLC located in San Francisco, California and CALAMOS FINANCIAL SERVICES LLC located in Naperville, Illinois.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Stephen has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Biography

Advising clients through planning & structuring the complexity of their wealth and finances, helping them with their short & long term goals while handling unforeseen circumstances & preparing for major life events

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Stephen F Rossi | Stephen Rossi

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) - RIA

Click below to view Stephen Frank Rossi's CRS (Customer Relationship Summary).
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

Education

Chico State University

Bachelor of Business Administration - Marketing

2005

Experience

Current

January 6, 2026 - Present

CALAMOS WEALTH MANAGEMENT LLC

Office #1: 555 California Street #3325, San Francisco, CA 94108
RIA
CRD#: 143490
San Francisco, CA
Current

January 6, 2026 - Present

CALAMOS FINANCIAL SERVICES LLC

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

March 31, 2025 - January 14, 2026

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
WALNUT CREEK, CA
Past

August 29, 2019 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
SAN FRANCISCO, CA
Past

August 6, 2019 - January 14, 2026

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SAN FRANCISCO, CA
Past

October 10, 2016 - July 22, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
OAKLAND, CA
Past

August 29, 2016 - July 22, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
OAKLAND, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CW
CALAMOS WEALTH MANAGEMENT LLC
CALAMOS WEALTH MANAGEMENT LLC

CRD#: 143490 / SEC#: 801-67787

RIA
Registered Investment Advisory firm - (4/25/2007 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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

IAR
California
(1/6/2026)
RR
Illinois
(1/6/2026)
IAR
Illinois
(1/21/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/5/2016
Uniform Combined 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: 8/29/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CW
CALAMOS WEALTH MANAGEMENT LLC
CALAMOS WEALTH MANAGEMENT LLC

CRD#: 143490 / SEC#: 801-67787

RIA
Registered Investment Advisory firm - (4/25/2007 Approved)
PREMIUM
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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
Phone number
(630) 245-7200
Established
Firm type
Fiscal year end
# of Employees
45

SEC notice filing (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV: FIRM BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts3,434
AUM (Assets Under Management)$ 4,090,678,284

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 WEALTH MANAGEMENT LLC

Financial ConsultantCRD#: 143490San Francisco, CA 94108

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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