Richard P. Preston
Professional summary
Richard Peabody Preston, who also goes by Richard P Preston, is a registered financial advisor currently at PARVIN ASSET MANAGEMENT, LLC located in Aiken, South Carolina.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Richard has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Peabody Preston's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 6, 2022 - Present
PARVIN ASSET MANAGEMENT, LLC
January 15, 2015 - December 22, 2021
PARVIN ASSET MANAGEMENT
February 25, 2003 - November 3, 2014
WELLS FARGO CLEARING SERVICES, LLC
June 15, 2002 - November 3, 2014
WELLS FARGO CLEARING SERVICES, LLC
March 21, 1989 - June 15, 2002
WACHOVIA SECURITIES, INC.
Primary Firm SEC Registration
PARVIN ASSET MANAGEMENT, LLC
CRD#: 315701 / SEC#: 801-122001
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/6/2022)
Exams
Series 8
Date: 9/23/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PARVIN ASSET MANAGEMENT, LLC
CRD#: 315701 / SEC#: 801-122001
Contact information
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 314 |
| AUM (Assets Under Management) | $ 140,987,821 |
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.
