Preston Mulford
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.
Preston Mulford, who also goes by Preston (nmn) Mulford, was a registered financial professional .
Preston is a previously registered financial professional and started their career in finance in 1969. Preston had worked at 12 firms and has passed the Series 63, Series 5, PC, Series 1, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2003 - September 6, 2011
CAPITOL SECURITIES MANAGEMENT, INC.
March 1, 2002 - January 14, 2003
SCOTT & STRINGFELLOW, LLC
October 17, 1994 - March 8, 2002
VELASCO SECURITIES, INC.
October 29, 1990 - October 6, 1994
FERRIS, BAKER WATTS, LLC
December 7, 1989 - October 31, 1990
GRUNTAL & CO., L.L.C.
August 4, 1986 - December 13, 1989
JANNEY MONTGOMERY SCOTT LLC
November 22, 1983 - August 7, 1986
J.C. BRADFORD & CO.
February 16, 1979 - December 7, 1983
FIRST UNION CAPITAL MARKETS CORP.
September 24, 1976 - January 14, 1979
DREXEL BURNHAM LAMBERT INCORPORATED
February 21, 1975 - October 30, 1976
SHEARSON HAYDEN STONE INC.
August 20, 1974 - February 1, 1975
REYNOLDS SECURITIES, INC.
January 7, 1969 - October 10, 1974
W. E. HUTTON & CO.
Primary Firm SEC Registration
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
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
Series 5
Date: 6/17/1982
Interest Rate Options ExaminationPC
Date: 1/25/1977
AMEX Put and Call ExamSeries 1
Date: 2/28/1957
Registered Representative ExaminationSeries 12
Date: 9/10/1976
NYSE Branch Manager ExaminationCurrent Firm
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
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.
