Robert L. Callaway
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Lee Callaway was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2011 - December 9, 2014
LPL FINANCIAL LLC
October 11, 2011 - December 9, 2014
LPL FINANCIAL LLC
March 18, 2008 - July 28, 2009
LPL FINANCIAL LLC
July 2, 2007 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
July 2, 2007 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
July 29, 2002 - July 2, 2007
INVESTMENT CENTERS OF AMERICA, INC.
July 26, 2002 - July 2, 2007
INVESTMENT CENTERS OF AMERICA, INC.
April 2, 2002 - August 6, 2002
PRINCIPAL SECURITIES, INC.
July 24, 2001 - February 13, 2002
EDWARD JONES
October 30, 1998 - January 29, 2001
INVEST FINANCIAL CORPORATION
February 11, 1998 - October 2, 1998
ROBERT THOMAS SECURITIES, INC
May 9, 1997 - February 11, 1998
AEGON USA SECURITIES INC.
February 14, 1994 - June 13, 1996
MERCANTILE INVESTMENT SERVICES, INC.
September 13, 1993 - February 4, 1994
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 7, 1989 - September 13, 1993
CAL FED INVESTMENTS
April 29, 1988 - December 5, 1989
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
April 4, 1986 - January 4, 1990
COLUMBIA INVESTMENT SERVICES, INC.
May 21, 1985 - February 18, 1986
INVESCO DISTRIBUTORS, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
