Scott B. Preston

MAVEN GROUP LLC

Rancho Santa Fe, CA 92091

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CRD#: 3042830

Professional summary

Scott Brian Preston, CFA is a registered financial advisor currently at MAVEN GROUP LLC located in Rancho Santa Fe, California.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Scott has worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 31 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Brian Preston's 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®

CFA

Chartered Financial Analyst

Experience

Current

November 6, 2007 - Present

MAVEN GROUP LLC

Office #1: 16236 San Dieguito Road Suite 4-25, Rancho Santa Fe, CA 92091

RIA

CRD#: 145419

Rancho Santa Fe, CA

Past

July 20, 2004 - May 11, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SAN FRANCISCO, CA

Past

November 10, 2003 - May 11, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SAN FRANCISCO, CA

Past

August 3, 2001 - November 7, 2003

RESEARCH CAPITAL USA INC.

CRD#: 39670

TORONTO,

Past

August 14, 1998 - March 27, 2000

TD SECURITIES (USA) LLC

CRD#: 18476

NEW YORK, NY

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

California
(11/6/2007)

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: 7/13/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/7/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 5/2/2006

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 3/18/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/12/1998

General Securities Representative Examination

Current Firm

MAVEN GROUP LLC

CRD#: 145419 / SEC#:

California

Registered Investment Advisory firm - (11/6/2007 Approved)

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Contact information

Main Address

16236 San Dieguito Road, Suite 4-25, Rancho Santa Fe, CA 92091

Mailing Address

P.o. Box 675791, Rancho Santa Fe, CA 92067

Phone number

(858) 914-3465

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 19,537,986

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Scott B. Preston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Brian Preston's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

RESEARCH CAPITAL USA INC.

TD SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/13/2004

Series 63

Date: 8/7/1998

Series 3

Date: 5/2/2006

Series 31

Date: 3/18/2005

Series 7

Date: 8/12/1998

Current Firm

MAVEN GROUP LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MAVEN GROUP LLC

TRUST BUT VERIFY

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