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WC

William P. Callaway

VIRTUS INVESTMENT ADVISERS
ATLANTA, GA 30305
Some features on this profile are disabled
CRD#: 5333562
WC

Professional summary

William Paul Callaway, who also goes by Stephen Paul Callaway, is a registered financial advisor currently at VIRTUS INVESTMENT ADVISERS, LLC located in Atlanta, Georgia and VP DISTRIBUTORS LLC located in Atlanta, Georgia.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. William has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 24 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Stephen Paul 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Paul Callaway'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®
None

Experience

Current

November 19, 2018 - Present

VIRTUS INVESTMENT ADVISERS, LLC

Office #1: 3333 Piedmont Road Ne Suite 1500, Atlanta, GA 30305
RIA
CRD#: 106982
ATLANTA, GA
Current

June 1, 2017 - Present

VP DISTRIBUTORS LLC

Office #1: 3333 Piedmont Road Ne Suite 1500, Atlanta, GA 30305
BD
CRD#: 3036
Atlanta, GA
Past

August 14, 2015 - November 19, 2018

VIRTUS CAPITAL ADVISERS, LLC

RIA
CRD#: 107346
ATLANTA, GA
Past

August 5, 2015 - June 1, 2017

FORESIDE ASSOCIATES, LLC

BD
CRD#: 13494
ATLANTA, GA
Past

February 18, 2009 - December 31, 2013

YIELDQUEST ADVISORS, LLC

RIA
CRD#: 132230
ATLANTA, GA
Past

December 5, 2007 - July 28, 2015

YIELDQUEST SECURITIES, LLC

BD
CRD#: 135041
ATLANTA, GA

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".
VI
VIRTUS INVESTMENT ADVISERS, LLC
PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA
Registered Investment Advisory firm - (9/17/1969 Approved)

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

IAR
Connecticut
(11/19/2018)
RR
Georgia
(6/1/2017)
RR
Illinois
(6/1/2017)
RR
Iowa
(6/1/2017)
RR
Missouri
(6/1/2017)
RR
New Jersey
(6/2/2022)
RR
New York
(6/2/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/8/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/4/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/29/2017
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/21/2013
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

VI
VIRTUS INVESTMENT ADVISERS, LLC
PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA
Registered Investment Advisory firm - (9/17/1969 Approved)
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Contact information

Main Address
One Financial Plaza 26th Floor, Hartford, CT 06103
Mailing Address
Phone number
(800) 248-7971
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts105
AUM (Assets Under Management)$ 53,982,609,839

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.

Company Information

VIRTUS INVESTMENT ADVISERS, LLC

CRD#: 106982Atlanta, GA 30305

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