SC
Scott A. Caloway
J.P. MORGAN INSTITUTIONAL INVESTMENTS
New York, NY 10172
Some features on this profile are disabled
CRD#: 3056533
SC
Professional summary
Scott A. Caloway, who also goes by Scott Alan Caloway, Scott Caloway, is a registered financial professional currently at J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. located in New York, New York.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1998. Scott has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Scott Alan Caloway | Scott Caloway
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Scott A. Caloway's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 19, 2016 - Present
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
Office #1: 277 Park Ave, New York, NY 10172BD
CRD#: 102920
New York, NY
Past
June 1, 2015 - May 18, 2016
ADP BROKER-DEALER, INC.
BD
CRD#: 37693
ROSELAND, NJ
Past
September 3, 2010 - February 18, 2015
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
ATLANTA, GA
Past
August 6, 2010 - February 18, 2015
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
ATLANTA, GA
Past
October 11, 2007 - October 19, 2009
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
May 27, 1998 - October 10, 2007
ADP BROKER-DEALER, INC.
BD
CRD#: 37693
WHITE MARSH, MD
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/19/2016)
RR
Alaska(7/17/2018)
RR
Arizona(7/17/2018)
RR
Arkansas(7/17/2018)
RR
California(7/17/2018)
RR
Colorado(7/17/2018)
RR
Connecticut(7/17/2018)
RR
Delaware(7/17/2018)
RR
District of Columbia(7/17/2018)
RR
Florida(5/19/2016)
RR
Georgia(5/19/2016)
RR
Hawaii(7/17/2018)
RR
Idaho(7/17/2018)
RR
Illinois(7/17/2018)
RR
Indiana(7/17/2018)
RR
Iowa(7/17/2018)
RR
Kansas(7/17/2018)
RR
Kentucky(5/19/2016)
RR
Louisiana(7/17/2018)
RR
Maine(7/17/2018)
RR
Maryland(7/17/2018)
RR
Massachusetts(7/17/2018)
RR
Michigan(7/17/2018)
RR
Minnesota(7/17/2018)
RR
Mississippi(5/19/2016)
RR
Missouri(7/17/2018)
RR
Montana(7/17/2018)
RR
Nebraska(7/17/2018)
RR
Nevada(7/17/2018)
RR
New Hampshire(7/17/2018)
RR
New Jersey(7/17/2018)
RR
New Mexico(7/17/2018)
RR
New York(5/19/2016)
RR
North Carolina(5/23/2016)
RR
North Dakota(7/17/2018)
RR
Ohio(7/17/2018)
RR
Oklahoma(7/17/2018)
RR
Oregon(7/17/2018)
RR
Pennsylvania(7/17/2018)
RR
Puerto Rico(7/17/2018)
RR
Rhode Island(7/17/2018)
RR
South Carolina(5/19/2016)
RR
South Dakota(7/17/2018)
RR
Tennessee(3/20/2017)
RR
Texas(7/17/2018)
RR
Utah(7/17/2018)
RR
Vermont(7/17/2018)
RR
Virginia(5/19/2016)
RR
Washington(7/17/2018)
RR
West Virginia(7/17/2018)
RR
Wisconsin(7/17/2018)
RR
Wyoming(7/17/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
JM
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
J. P. MORGAN ADVISORS, INC. | J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. | J.P. MORGAN INSTITUTIONAL INVESTMENTS | J.P. MORGAN
CRD#: 102920 / SEC#: 801-64031, 8-52182
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
383 Madison Avenue, New York, NY 10179
Mailing Address
480 Washington Blvd, Floor 11 Ny1-f019, Jersey City, NJ 07310-1616
Phone number
(201) 595-1958
Established
Delaware since 05/26/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
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.
