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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you G? Claim Your ProfileG. Richard Callaway is an investment advisor representative at Morgan Stanley. G. Richard has been in the securities industry since 1971 and has experience at a number of firms including Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., and Dean Witter & Co. Incorporated. G. Richard has licenses in Indiana and Texas. G. Richard has a total of 4 approved SRO registrations, 1 approved FINRA registration, 26 approved state registrations, and 2 approved IA state registrations. G. Richard has passed the Series 4, 5, 7TO, 9, 10, 12, 24, 63 and SIE exams.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
IN
06/01/2009 - Present
Morgan Stanley (Indianapolis IN)
IN
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (INDIANAPOLIS IN)
IN
10/28/1971 - 04/02/2007
MORGAN STANLEY DW INC. (INDIANAPOLIS IN)
NA
05/16/1973 - 02/24/1978
DEAN WITTER & CO. INCORPORATED
NA
11/08/1971 - 05/16/1973
DEAN WITTER & CO. INCORPORATED
BC
Issued 06/03/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/08/1980
Series 4 - Registered Options Principal Examination
BC
Issued 11/13/1979
Series 12 - NYSE Branch Manager Examination
BC
Issued 11/09/1979
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/10/1981
Series 5 - Interest Rate Options Examination
BC
Issued 02/06/1979
PC - AMEX Put and Call Exam
BC
Issued 10/28/1971
Series 000 - General Securities Principal Examination
BC
Issued 10/28/1971
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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