Sean D. Preston
Professional summary
Sean David Preston is a registered financial professional currently at DELAWARE DISTRIBUTORS, L.P. located in Philadelphia, Pennsylvania.
Sean is registered as a RR (Registered Representative) and started their career in finance in 1999. Sean has worked at 7 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sean David Preston's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 18, 2014 - Present
DELAWARE DISTRIBUTORS, L.P.
Office #1: 610 Market St 100 Independence, Philadelphia, PA 19106December 3, 2012 - May 29, 2014
HARTFORD FUNDS DISTRIBUTORS, LLC
June 1, 2006 - December 3, 2012
GLOBAL ATLANTIC DISTRIBUTORS, LLC
February 4, 2005 - February 7, 2005
TULLETT PREBON FINANCIAL SERVICES LLC
September 20, 2004 - January 19, 2005
BOENNING & SCATTERGOOD, INC.
January 15, 2002 - May 5, 2004
SUSQUEHANNA FINANCIAL GROUP, LLLP
December 14, 1999 - December 21, 2001
HERZOG, HEINE, GEDULD, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/18/2014)
(6/19/2014)
(6/23/2014)
(8/6/2024)
Exams
Series 55
Date: 10/3/2001
Limited Representative-Equity Trader ExamFINRA
Current Firm
DELAWARE DISTRIBUTORS, L.P.
CRD#: 14232 / SEC#: , 8-29755
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELAWARE INVESTMENTS DISTRIBUTION PARTNERS, INC. ("DIDP") | LIMITED PARTNER OF APPLICANT | |
| IVY DISTRIBUTORS, INC. | LIMITED PARTNER OF APPLICANT | |
| CONNOR, DAVID FORRESTER | DIRECTOR | 4243088 |
| DELAWARE CAPITAL MANAGEMENT, A SERIES OF MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST,("DCM") | LIMITED PARTNER OF APPLICANT | |
| DELAWARE DISTRIBUTORS, INC. ("DDI") | GENERAL PARTNER OF APPLICANT | |
| GARVEY, THOMAS F | CHIEF COMPLIANCE OFFICER | 2845051 |
| HOBAN, STEPHEN (NO MIDDLE NAME) | FINOP | 5089370 |
| HOBAN, STEPHEN (NO MIDDLE NAME) | VP/CHIEF FINANCIAL OFFICER | 5089370 |
| HUTCHINSON, MILISSA ANN | PRESIDENT | 5727922 |
| LYTLE, SHAWN KEITH | DIRECTOR | 5816747 |
| SALUS, RICHARD (NO MIDDLE NAME) | DIRECTOR | 2850592 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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