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Thomas E. Preston

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CRD#: 1382843
TP

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.

Thomas Earl Preston was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 10 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 8, 2021 - October 31, 2024

ALLIANCE-ONE INVESTMENTS, LLC

BD
CRD#: 286025
TULSA, OK
Past

November 29, 2011 - May 11, 2016

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
PITTSBURGH, PA
Past

November 17, 2011 - May 11, 2016

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
PITTSBURGH, PA
Past

June 6, 2007 - October 18, 2011

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
PITTSBURGH, PA
Past

February 28, 2007 - October 18, 2011

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
PITTSBURGH, PA
Past

April 30, 1997 - January 19, 2007

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
PITTSBURGH, PA
Past

September 30, 1996 - April 8, 1997

INDEPENDENT FINANCIAL SECURITIES, INC.

BD
CRD#: 19924
Past

August 2, 1996 - April 17, 1997

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
CLEVELAND, OH
Past

June 29, 1993 - August 27, 1996

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

June 29, 1993 - August 27, 1996

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

December 4, 1985 - July 31, 1992

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/4/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/30/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 12/8/2021
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/15/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/26/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/3/1985
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/6/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/15/2000
General Securities Sales Supervisor - Options Module Examination

Current Firm

AI
ALLIANCE-ONE INVESTMENTS, LLC
ALLIANCE-ONE INVESTMENTS, LLC

CRD#: 286025 / SEC#: , 8-69868

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
4000 N Mingo Rd, Tulsa, OK 74116
Mailing Address
4000 N Mingo Rd, Tulsa, OK 74116
Phone number
(918) 281-1820
Established
Delaware since 10/20/2016
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Medium
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ALLIANCE-ONE HOLDINGS, LLCSOLE MEMBER
ARBO, WILLIAM CHARLESCEO/CHIEF FINANCIAL OFFICER1773016
TOOMEY, JAY ALANCHIEF COMPLIANCE OFFICER2514959

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

ALLIANCE-ONE INVESTMENTS, LLC

CRD#: 286025

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