Preston D. Mcswain

FIDUCIARY WEALTH PARTNERS

Boston, MA 02115

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CRD#: 2320744

Professional summary

Preston Daniel Mcswain is a registered financial advisor currently at FIDUCIARY WEALTH PARTNERS, LLC located in Boston, Massachusetts.

Preston is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Preston has worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

PERSONAL CONTINUITY GROUP; INTERNET START-UP; 88 URBAN CLUB RD.,WAYNE,NJ,UNITED STATES-07470; ADVISOR AD HOC CONSULTANT FOR BUSINESS IDEAS (BASED ON PVT WEALTH KNOWLEDGE); 01 OCT 2011; 8 HOURS PER MONTH AFTER SECURITIES TRADING HOURS;8 HOURS PER MONTH DURING SECURITIES TRADING HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Preston Daniel Mcswain's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

March 1, 2012 - Present

FIDUCIARY WEALTH PARTNERS, LLC

Office #1: 177 Huntington Ave. 17th Floor, Boston, MA 02115

RIA

CRD#: 160696

Boston, MA

Past

April 15, 2010 - January 18, 2012

BARCLAYS CAPITAL INC.

RIA

CRD#: 19714

BOSTON, MA

Past

November 2, 2009 - January 18, 2012

BARCLAYS CAPITAL INC.

CRD#: 19714

BOSTON, MA

Past

July 17, 1998 - January 14, 2010

NEUBERGER BERMAN BD LLC

CRD#: 2908

BOSTON, MA

Past

December 13, 1996 - July 29, 1998

CITIZENS SECURITIES, INC.

CRD#: 39550

JOHNSTON, RI

Past

February 13, 1996 - December 13, 1996

GUARANTY BROKERAGE SERVICES, INC.

CRD#: 23302

ST. CLOUD, MN

Past

March 2, 1993 - December 7, 1995

BAYBANKS BROKERAGE SERVICES, INC.

CRD#: 17536

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FIDUCIARY WEALTH PARTNERS, LLC

FIDUCIARY WEALTH PARTNERS, LLC | SJM FIDUCIARY ADVISORS, LLC

CRD#: 160696 / SEC#: 801-73067

RIA

Registered Investment Advisory firm - (1/27/2012 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(3/1/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/14/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/22/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/30/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/18/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 9

Date: 8/30/2000

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 8/28/2000

General Securities Sales Supervisor - General Module Examination

Current Firm

FIDUCIARY WEALTH PARTNERS, LLC

FIDUCIARY WEALTH PARTNERS, LLC | SJM FIDUCIARY ADVISORS, LLC

CRD#: 160696 / SEC#: 801-73067

RIA

Registered Investment Advisory firm - (1/27/2012 Approved)

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Contact information

Main Address

2310 Washington Street 3rd Floor, Newton Lower Falls, MA 02462

Mailing Address

Phone number

(617) 602-1900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIDUCIARY WEALTH PARTNERS, LLC DISCLOSURE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	459
AUM (Assets Under Management)	$ 1,396,302,564

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/11/2025	Cover Page	Report
08/02/2024	Cover Page	Report
07/24/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Preston D. Mcswain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Preston Daniel Mcswain's CRS (Customer Relationship Summary).

Certified licenses

Experience

BARCLAYS CAPITAL INC.

BARCLAYS CAPITAL INC.

NEUBERGER BERMAN BD LLC

CITIZENS SECURITIES, INC.

GUARANTY BROKERAGE SERVICES, INC.

BAYBANKS BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

FIDUCIARY WEALTH PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/14/2010

Series 63

Date: 2/22/1993

Series 7

Date: 4/30/1996

Series 6

Date: 2/18/1993

Series 9

Date: 8/30/2000

Series 10

Date: 8/28/2000

Current Firm

FIDUCIARY WEALTH PARTNERS, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FIDUCIARY WEALTH PARTNERS, LLC

TRUST BUT VERIFY

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