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Carlos Alfonso Soriano

19 Years of Experience
Broker
Areas of Practice
Investment Management
Compensation
Fee-Only (AUM)
Firm Size
37 advisors
Number of Clients
1,662 clients
Average Client Portfolio
$23.0M average
Assets Under Management
$38.2B

Fee Structure

Financial Planning:Investment management only
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Location

2020 Calamos Court, Naperville, IL, 60563-2787

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Carlos owns a condo rental property since 2010. He spends minimal time on general landlord duties.

Employment History
Current Registrations
Calamos Advisors LLC
December 2012 - Present · 13 yrs 2 mos
Calamos Financial Services LLC
September 2009 - Present · 16 yrs 5 mos
Calamos Financial Services LLCBroker
September 2009 - Present · 16 yrs 5 mos
Previous Registrations
Calamos Wealth Management LLC
September 2009 - December 2012 · 3 yrs 3 mos
Oppenheimer & CO. INC.Broker
May 2008 - April 2009 · 11 mos
Oppenheimer & CO. INC.
May 2008 - April 2009 · 11 mos
Bear, Stearns & CO. INC.
June 2007 - May 2008 · 11 mos
Bear, Stearns & CO. INC.Broker
June 2007 - May 2008 · 11 mos
UBS Financial Services INC.
November 2005 - May 2007 · 1 yr 6 mos
UBS Financial Services INC.Broker
November 2005 - May 2007 · 1 yr 6 mos
State Registrations6 states
AZCAFLILNYTX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.