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Kathryn Swain

Calamos Wealth Management LLC

New York, NY

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Current Employers
Calamos Wealth Management Llc

2020 Calamos Court, Naperville, IL 60563-2787 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2026-07-24
NY RA APPROVED 2026-07-24
  • IL RA
    APPROVED
    Since 2026-07-24
  • NY RA
    APPROVED
    Since 2026-07-24

Branch Locations

50 Rockefeller Plaza Suite 1200/1600, New York, NY 10020 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Churchill Management Los Angeles CA 04/2010 07/2020
Goldman Sachs Emeryville CA 09/2020 09/2020
Unemployed Los Angeles CA 10/2020 12/2021
Lpl Enterprise Llc New York NY 05/2025 07/2026
Nectar New York NY 12/2021 05/2026
Calamos Financial Services Llc Naperville IL 07/2026 Present
Calamos Wealth Management Llc Naperville IL 07/2026 Present
Kathryn Swain & Company Los Angeles CA 12/2021 05/2023
  • 04/2010 → 07/2020
    Churchill Management
    Los Angeles, CA
  • 09/2020 → 09/2020
    Goldman Sachs
    Emeryville, CA
  • 10/2020 → 12/2021
    Unemployed
    Los Angeles, CA
  • 05/2025 → 07/2026
    Lpl Enterprise Llc
    New York, NY
  • 12/2021 → 05/2026
    Nectar
    New York, NY
  • 07/2026 → Present
    Calamos Financial Services Llc
    Naperville, IL
  • 07/2026 → Present
    Calamos Wealth Management Llc
    Naperville, IL
  • 12/2021 → 05/2023
    Kathryn Swain & Company
    Los Angeles, CA
Previous Registrations
  • 2025-06-25 → 2026-07-14
    Lpl Enterprise, Llc
    New York, NY
  • 2021-12-01 → 2023-05-05
    Lgbtqinvest, Llc
    Los Angeles, CA
  • 2010-04-13 → 2020-07-22
    Churchill Management Group
    San Francisco, CA
    Beverly Hills, CA
    Emeryville, CA
    Oakland, CA
    Piedmont, CA
    Emeryville, CA
  • 2007-02-13 → 2008-08-18
    Federated Investment Counseling
    Pittsburgh, PA
  • 2005-06-03 → 2006-01-09
    Charles Schwab & Co., Inc.
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-06-25
S65 Uniform Investment Adviser Law Examination 1995-05-15
S63 Uniform Securities Agent State Law Examination 1995-04-28
  • S66 Uniform Combined State Law Examination
    2025-06-25
  • S65 Uniform Investment Adviser Law Examination
    1995-05-15
  • S63 Uniform Securities Agent State Law Examination
    1995-04-28
Other Names
  • Chris Swain
  • Christopher Swain
  • Robert Christopher Swain
  • Robert Christopher Christopher Swain
  • Kathryn Kristen Swain

View on SEC IAPD

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