William C. 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.
William Cullen Callaway, who also goes by W. Cullen Callaway, W. Culley Callaway, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1990. William had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2015 - October 14, 2016
RIVERROCK SECURITIES, LLC
September 5, 2012 - September 12, 2013
ENTORO SECURITIES, LLC
December 11, 2009 - August 27, 2012
WM. H. MURPHY & CO., INC.
October 13, 2005 - October 5, 2009
UBS FINANCIAL SERVICES INC.
September 19, 2005 - October 5, 2009
UBS FINANCIAL SERVICES INC.
March 15, 1996 - December 31, 1996
PFS INVESTMENTS INC.
April 13, 1993 - March 28, 1994
GUARDIAN INVESTOR SERVICES LLC
May 23, 1990 - January 25, 1991
MURCHISON INVESTMENT BANKERS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
RIVERROCK SECURITIES, LLC
CRD#: 153178 / SEC#: , 8-68512
Contact information
Documents
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.
