Joel P. 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.
Joel Patrick Preston was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 1989. Joel had worked at 8 firms and has passed the Series 63, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 1994 - March 17, 1994
TRADEWINDS SECURITIES CORPORATION
September 2, 1993 - January 5, 1994
MERIDIAN, DUNHILL & CO., INC.
January 25, 1993 - August 4, 1993
SCHNEIDER SECURITIES, INC.
September 23, 1992 - January 5, 1993
PRINCETON AMERICAN EQUITIES CORPORATION
November 20, 1991 - August 31, 1992
AMERICAN FRONTEER FINANCIAL CORPORATION
November 5, 1991 - November 27, 1991
FIRST CHOICE SECURITIES CORP.
March 25, 1991 - October 25, 1991
KOBER FINANCIAL CORP.
December 12, 1990 - January 8, 1991
PRINCETON AMERICAN EQUITIES CORPORATION
October 25, 1989 - November 23, 1990
THE STUART-JAMES COMPANY, INCORPORATED
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
TRADEWINDS SECURITIES CORPORATION
CRD#: 31160 / SEC#: , 8-45379
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
