Final Order — Investment Adviser/Associated Person

Index: Df R 1JJlie -2JJ
STATE OF FLORIDA
OFFICE OF FINANCIAL REGULATION
In Re:
NICHOLAS LOUIS KOROMPILAS,
Respondent.
Case Number: 136115-SR
FINAL ORDER
The State of Florida, Office of Financial Regulation ("Office"), and Nicholas Louis Korompilas ("Korompilas"), having entered into the attached Stipulation and Consent Agreement ("Agreement"), resolving and concluding this matter, it is therefore ORDERED:

1. The Agreement entered into by the Office and Korompilas is adopted and
   incorporated by reference herein as if set forth at length.
2. The parties shall comply with all provisions of the incorporated Agreement.
   DONE and ORDERED this J± day of April, 2026, in Tallahassee, Leon County, Florida. Commissioner

CERTIFICATE OF SERVICE
I HEREBY CERTIFY that a true and correct copy of the foregoing Final Order has been furnished via electronic mail to Stephen C. Voris, Esq., attorney for Nicholas Louis Korompilas, at svoris@burkelaw.com on this ~y of April, 2026. 2 i-Q •• :tk t:Lr ~ ;k Office of Financial Regulation Post Office Box 8050 Tallahassee, FL 32314-8050 Email: Agency.Clerk@flofr.gov Tel: (850) 410-9889

STATE OF FLORIDA
OFFICE OF FINANCIAL REGULATION
In Re:
NICHOLAS LOUIS KOROMPILAS, Case Number: 136115-SR . Respondent.
STIPULATION AND CONSENT AGREEMENT fhe State of Florida, Office of Financial Regulation ("Office"), and Respondent Nicholas Louis Korompifas ("Korompilas''), ln consideration o( t~e .. mulual p~omises herein, recite, stipulate, and agree, on the~last date.exec"ted below, as fol1ows: ·, ~ , ... - '
l. Background: On January 15, 2026, the Office received an application, via Fonn
U4, Uniform Application for Securitie; Industry Registration, through the Central Registration Depository ("CRD"), for Korompilas;s registration with the Office as an associated person of Calamos Wealth Management LLC (<'CWM',), a federaJ covered adviser. Korompilas's CRD number is 6343333. Upon re-0eipt ofKorompilas's application for registration, the Office sent a deficiency letter to Korompilas and requested documentation regarding, among other things, possible unregistered investment advisory business activity. On January 22, 2026, and on January 29, 2026, the Office received KorompHas's written statements that indicated that Korompilas had been rendering investment advice in Florida since February 2025, without being registered with the Office as an associated person of CWM.
2. Jm·isdiction: The Office is the state agency charged with the administration and
enforcement of chapter 517, Florida Statutes, and the rules promulgated thereunder. The Office

In Rt:; Nid!Olas l.ouis Koromp1l11S rage 2of6 has jurisdiction to initiate an Administrative Complaint against Kornmpilas pursuant to chapter
517. Florida Statutes. as stipulated by Korompilas.
3. Findings: Korompilas neither admits nor denies the allegations but consents to the
entry of findings by the Office. The Office finds that Korompilas violated section 517.12(3), Flori~a Statutes (2025), by rendering investment advice, from a location within Florida. without being registered with the Office as an associa~ed person of CWM.
4. Conside1·ation: The parties agree that the issues raised in this proceeding can be
expeditiously resolved prior to the filing of an Administrative Complaint by their execution of this Stipulation and Consent Agreement. The parties acknowledge that they have read this Stipulation and Consent Agreement and fully understand the rights, obligations, terms, duties, and responsibilities with respect to its contents. Therefore, in compromise and settlement of this matter and in consideration of the Office's forbearance from further litigation, the parties agree as follows:
a. Korompilas agrees to Cease and Desist from violations of chapter 517, Florida Statutes, and the Administrative Rules adopted thereto. b. Korompilas agrees to an imposition of an administrative fine against Korompilas in the amount of$6,875. The administrative fine. shall be submitted in the fonn of a certified check or money order made payable to the .. Office o[f1nancial Regulation" and sent to Agency Clerk, c/o Layali Salem, Esq., Office of Financ•ial Regulation, P.O. Box 8050, Tallahassee, FL 32314-8050. or paid by wir.e transfer. Korompilas agrees that the administrative fine shall be collected and deposited in accordance with section 215.3 l, Florida Statmes. Korompi las agrees, regarding the deposit of monies. that (I) the tendered fine or settlement check proceeds may be deposited in advance of full execution or acceptance of the proposed settlement agreement and (2) such deposit shall not be

Lil Re : Nicholas 1..-0UIS Koromp1l11s
Page 3 offi
construed as a final acceptance of the Stipulation and Consent Agreement absent full execution thereof and entry of the Final Order adopting same.
c. The Office agrees to approve Korompilas's pending application for
registration as an associated person of CWM. Approval shall be granted upon receipt of the required administradve fine payment and entry of the Final Order adopting this Stipulation and Consent Agreement. In the event the Office discovers any additional adverse infonnation concerning the pending application prior to entry of the Final Order, the Office reserves all legal rights and authority to take any action on the pending application as may be appropriate. Such action may include, but is not limited to, issuing an Administrative Complaint based on the violations cited above.
5. Final Order: Korompi las consents to the issuance by the Office of a Final Order,
which incorporates the terms of this Stipulation and Consent Agreement. Korompilas understands and agrees that this Stipulation and Consent Agreement is subject to the final approval of the Commissioner of the Office of Financial Regulation and the entry of the Final Order adopting this Stipulation and Consent Agreement. In the event the Final Order is not entered, this Stipulation and Consent Agreement shall be nuU and void. The Final Order incorporating this Stipulation and Consent Agreement constitutes final agency action by the Office for which the Office may seek enforcement pursuant to the provisions of ~hapters 120 and S 17, Flo1·ida Statutes.
6. Consent and Waiver: By Korompilas's consent to the entry of the Final Order
with respect to this proceeding, Korompilas knowingly and voluntarily waives:
a. any right to receive further notice of this administrative action and notice of f'ights pursuant to chapter f20, Florida Statutes; b. any right to an administrative hearing provided by chapter 120, Florida

In Re: Nicholas Louis Korompilns l'oge4 of6
Statutes;
c. any requirement that the Office's Final Order contain separately stated
findings of Fact and Conclusions of Law or a Notice of Rights; d. any right to issuance of a recommended order by an Administrative Law Judge from the Division of Administrative Hearings or a Hearing Officer from the Office; and e. any right to object to or chaJlenge in any judicial proceeding including, but not limited to, an appeal pursuant to section 120.68, Florida Statutes, any term, c-0ndition, obligation, or duty expressly created by the Final Order.
7. Releases: Upon full execution of this Stipulation and Consent Agreement,
Korompilas waives and releases the Office and its agents, representatives, and employees from any and all causes of action that Korompilas may have arising from or relating to t.he subject matter hereof. The Office agrees to accept this release on behalf of itself and its agents, representatives. and employees without acknowledging and expressly denying that any such cause or causes of action may exist.
8. Future Actions: This Stipulation and Consent Agreement is being executed solely
for the purpose of resolving and settling the instant proceeding. Nothing herein shall be construed to waive or restrict the Office's right in a future proceeding to undertake any administrative action under the provisions of chapter 517, Florida Statutes, or any civil or criminal prosecution) arising out of any focts or circumstances undisclosed or undiscovered at the time of the entry of the Final Order; or fac.ts unrelated to this settlement should further information warrant such action.
9. Failure to Comoly: Korompilas acknowledges, concurs, and stipulates that
Korompilas's failure to comply with any of the terms, obligations and conditions of this Stipulation

In Re: Nichola~ LDuis I<orompilas
Jli,e~ ~ ofo and Consent Agreement. and the Final Order adopting it, violates this written agreement and the f'inaI Order entered pursuant to chapters 120 and 517, Florida Statutes. Such non-compliance may result in the issuance of an emergency Cease and Desist Order. I 0. Attor.nell' Fees: Each pany herein shall be solely responsible for its attorneys• fees and costs incurred up to and including entry of the Pinal Order in this mauer. l 1. Severabilitv: Korompilas agr.ees that if any provision of this Stipulation and Consent Agreement or the application thereof to any person or circumstance is held to be in val id, the invalidity .shall not affect the remaining provisions of the Stipulation and Consent Agreement or the Final Order adopting i~ which shall be given effect without the invalid provision(s). and to this end, the provisions of this Stipulation and Consent Agreement are severable. l 2. Entire Agreement: This Stipulation and Consent Agreement represents the entire agreement by and between the Office and Korompilas. Any alterations, variations, changes, modifications, or waivers of the provisions hereofshaU be valid only w~en they have been reduced to writing, duly signed by the Office and Korompilas, and attached to the original of this Stipulation and Consent Agreement. WHEREFORE, the undersigned parties hereby acknowledge and agree to the tem1s and conditions of the foregoing Stipulation and Consent Agreement, subject to final approval by the Commissioner of the Office of Financial Reguiation, by written consent on the last date executed below; [this space intentionally blank with signatures c1ppearing on the.following page]

In Re: Nicholll:S Louis Korompilas
Page6of6
NICHOLAS LOUIS KOROMPlLAS
N'hl~ s oromp1 'I as
STA TE OF ILLINOIS)
COUNTY OF DUPAGE)
BEFORE ME, the undersigned authority, appeared Nicholas L<mis Korompilas, by means of Vphysical presence or O onHoe notarization, who, upon being duly swom~ states that he has refd)~1d understands the foregoing agt•eement and voluntarily signed the same. SWORN TO AND SUBSCRIBED before me this /1i day otA f'iell-, , 2026. My Commission expires:Nc,tOM_., / /..J1 t<,t7 ~~ . . Personally known ,>( or produced identification. Type of identification produced: ________ _ OFFICE OF FINANCIAL REGULATION ~.. ~~ 4 _11_51_26 _ ~ an Date Director Division of Securities omcw.lEAL ,EROMERA'tMONO~ Huy~. Slahlat·IIMnoll Commlulon No. M1111 My Commission Eq,ies ~ 13, ~27