Sydney Smith

CALAMOS WEALTH MANAGEMENT LLC

Chicago, IL 60607

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CRD#: 6798136

Professional summary

Sydney Smith, who also goes by Sydney Katherine Smith, is a registered financial advisor currently at CALAMOS WEALTH MANAGEMENT LLC located in Chicago, Illinois and CALAMOS FINANCIAL SERVICES LLC located in Chicago, Illinois.

Sydney is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Sydney has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sydney Katherine Smith

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 Sydney Smith'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

Experience

Current

December 12, 2023 - Present

CALAMOS WEALTH MANAGEMENT LLC

Office #1: 215 N. Peoria Street #1100/1200, Chicago, IL 60607

RIA

CRD#: 143490

Chicago, IL

Current

December 12, 2023 - Present

CALAMOS FINANCIAL SERVICES LLC

Office #1: 215 North Peoria Street #600/1100/1200, Chicago, IL 60607

CRD#: 19850

Chicago, IL

Past

March 23, 2022 - October 25, 2023

MOWERY & SCHOENFELD WEALTH MANAGEMENT, LLC

RIA

CRD#: 118366

LINCOLNSHIRE, IL

Past

March 13, 2019 - April 21, 2022

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA

CRD#: 611

ROSEMONT, IL

Past

February 27, 2019 - April 21, 2022

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

ROSEMONT, IL

Past

August 28, 2018 - February 25, 2019

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

WELLESLEY, MA

Past

July 3, 2018 - February 25, 2019

EQUITABLE ADVISORS, LLC

CRD#: 6627

WELLESLEY, MA

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".

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.

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

Illinois
(12/12/2023)

IAR

Illinois
(12/12/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/1/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/3/2018

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CALAMOS WEALTH MANAGEMENT LLC

CRD#: 143490 / SEC#: 801-67787

RIA

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

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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

SEC notice filing (52 States and Territories)

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 Accounts	3,434
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.

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Firm Stability Insights

Sydney Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sydney Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

CALAMOS FINANCIAL SERVICES LLC

MOWERY & SCHOENFELD WEALTH MANAGEMENT, LLC

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

CALAMOS WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/1/2018

SIE

Date: 10/1/2018

Series 7

Date: 7/3/2018

FINRA

Current Firm

CALAMOS WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CALAMOS WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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