Seth E. Steele

CALAMOS ADVISORS LLC

Naperville, IL 60563

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CRD#: 6887037

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Seth E Steele | Seth Steele

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 Seth Edwin Steele'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

April 17, 2024 - Present

CALAMOS ADVISORS LLC

Office #1: 2020 Calamos Court #237, Naperville, IL 60563

RIA

CRD#: 105758

Naperville, IL

Current

April 17, 2024 - Present

CALAMOS FINANCIAL SERVICES LLC

Office #1: 2020 Calamos Court, Naperville, IL 60563

CRD#: 19850

NAPERVILLE, IL

Past

May 11, 2021 - April 29, 2022

MORGAN STANLEY

RIA

CRD#: 149777

Chicago, IL

Past

May 4, 2021 - April 29, 2022

MORGAN STANLEY

CRD#: 149777

Chicago, IL

Past

January 7, 2019 - March 26, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

COLUMBUS, OH

Past

November 1, 2018 - March 26, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

COLUMBUS, OH

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 ADVISORS LLC

CALAMOS ADVISORS LLC | CALAMOS ASSET MANAGEMENT INC | CALAMOS ARISTA PARTNERS

CRD#: 105758 / SEC#: 801-29688

RIA

Registered Investment Advisory firm - (5/29/1987 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
(4/17/2024)

IAR

Illinois
(4/17/2024)

Kentucky
(4/17/2024)

Ohio
(4/18/2024)

Pennsylvania
(4/17/2024)

West Virginia
(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

State Security Law Exam

IAR

Series 66

Date: 1/4/2019

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 11/2/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/1/2018

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CALAMOS ADVISORS LLC

CALAMOS ADVISORS LLC | CALAMOS ASSET MANAGEMENT INC | CALAMOS ARISTA PARTNERS

CRD#: 105758 / SEC#: 801-29688

RIA

Registered Investment Advisory firm - (5/29/1987 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

257

SEC notice filing (51 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	1,662
AUM (Assets Under Management)	$ 38,184,222,669

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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Advisor Monitoring

Firm Stability Insights

Seth E. Steele

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seth Edwin Steele's CRS (Customer Relationship Summary).

Certified licenses

Experience

CALAMOS FINANCIAL SERVICES LLC

MORGAN STANLEY

MORGAN STANLEY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CALAMOS ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/4/2019

SIE

Date: 11/2/2018

Series 7

Date: 11/1/2018

FINRA

Current Firm

CALAMOS ADVISORS LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CALAMOS ADVISORS LLC

TRUST BUT VERIFY

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