Seth Edwin Steele
Professional Summary
Seth Edwin Steele, who also goes by Seth E Steele, Seth Steele, is a registered financial advisor currently at CALAMOS ADVISORS LLC located in Naperville, Illinois and CALAMOS FINANCIAL SERVICES LLC located in Naperville, Illinois. Seth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Seth has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Seth E Steele, Seth Steele
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
8 years in the financial services industry
Current & Past Employments
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Current Firm
CALAMOS ADVISORS LLC | CALAMOS ASSET MANAGEMENT INC | CALAMOS ARISTA PARTNERS
Contact Information
Main Address
2020 Calamos Court, Naperville, IL 60563-2787Phone Number
(630) 245-7200# of Employees
300SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,957AUM (Assets Under Management)
$43,888,328,733Similar Advisors
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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.
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Primary Firm SEC Registration
CALAMOS ADVISORS LLC | CALAMOS ASSET MANAGEMENT INC | CALAMOS ARISTA PARTNERS
State Registrations and Notice Filings
(4/17/2024)
(4/17/2024)
(4/17/2024)
(4/18/2024)
(4/17/2024)
(4/17/2024)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Seth Edwin Steele's CRS (Customer Relationship Summary).
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