JC
John R. Callaway
OSAIC INSTITUTIONS
Charlotte, NC 28210
Some features on this profile are disabled
CRD#: 5023857
JC
Professional summary
John R Callaway JR., who also goes by John R Callaway Jr, John R Callaway, John Robert Callaway Jr., John Robert Callaway, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Charlotte, North Carolina.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. John has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John R Callaway Jr | John R Callaway | John Robert Callaway Jr. | John Robert Callaway
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) - RIA
Click below to view John R Callaway JR.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John R Callaway JR.'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
October 27, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 6310 Fairview Road, Charlotte, NC 28210RIA
BD
CRD#: 35371
Charlotte, NC
Current
October 27, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 6310 Fairview Road, Charlotte, NC 28210RIA
BD
CRD#: 35371
Charlotte, NC
Past
December 5, 2024 - October 22, 2025
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
CHARLOTTE, NC
Past
December 5, 2024 - October 22, 2025
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
CHARLOTTE, NC
Past
March 1, 2022 - December 2, 2024
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
CHARLOTTE, NC
Past
March 1, 2022 - December 2, 2024
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
CHARLOTTE, NC
Past
May 23, 2018 - March 8, 2022
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHARLOTTE, NC
Past
May 23, 2018 - March 8, 2022
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHARLOTTE, NC
Past
February 25, 2014 - May 29, 2018
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
CHARLOTTE, NC
Past
February 25, 2014 - May 29, 2018
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
CHARLOTTE, NC
Past
June 27, 2012 - February 26, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
CHARLOTTE, NC
Past
June 27, 2012 - February 26, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
CHARLOTTE, NC
Past
June 6, 2011 - June 1, 2012
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
CHARLOTTE, NC
Past
June 6, 2011 - June 1, 2012
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
CHARLOTTE, NC
Past
June 17, 2010 - June 10, 2011
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
KANNAPOLIS, NC
Past
June 17, 2010 - June 10, 2011
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
KANNAPOLIS, NC
Past
November 20, 2007 - June 14, 2010
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
GASTONIA, NC
Past
November 13, 2007 - June 14, 2010
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
GASTONIA, NC
Past
October 13, 2006 - October 12, 2007
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
HUNTINGTON, WV
Past
April 25, 2006 - June 27, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
BECKLEY, WV
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
North Carolina(10/27/2025)
IAR
North Carolina(10/27/2025)
RR
South Carolina(10/27/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
