Mark D. Preston
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.
Mark Daniel Preston, who also goes by Mark D Preston, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1988. Mark had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2016 - October 29, 2020
INVERNESS SECURITIES, LLC
August 4, 2011 - August 5, 2016
STIFEL INDEPENDENT ADVISORS, LLC
November 1, 2001 - August 3, 2011
COLE PARTNERS
January 3, 1995 - June 4, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 1993 - January 13, 1995
CITIGROUP GLOBAL MARKETS INC.
June 30, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
January 1, 1991 - January 1, 1991
VINING-SPARKS IBG, LLC
June 22, 1988 - January 1, 1991
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INVERNESS SECURITIES, LLC
CRD#: 129914 / SEC#: , 8-66278
Contact information
FINRA licenses (30 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
