Michael R. Preston

NEW HARBOR FINANCIAL GROUP

Worcester, MA 01608

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CRD#: 4050238

Professional summary

Michael Robert Preston, CFP® is a registered financial advisor currently at NEW HARBOR FINANCIAL GROUP, LLC located in Worcester, Massachusetts.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Michael has worked at 4 firms and has passed the Series 63, Series 65, SIE 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.

1. FIXED INCOME. INVESTMENT RELATED. 146 MAIN STREET, STE 302 WORCESTER, MA 01608. INSURANCE/FIXED. INSURANCE BROKER. 1/2011. 2 HRS/MO. SELL FIXED ANNUITIES, LIFE INSURANCE, LONG TERM CARE INSURANCE. 2. NEW HARBOR ACQUISITION PARTNERS, LLC. 146 MAIN STREET, STE 302 WORCESTER, MA 01608. CO-OWNER/MEMBER. MANAGEMENT AND CONSULTING SERVICES IN ITS ROLE AS BUSINESS ACQUISITION SEARCH FIRM. 6/2019. 10% of time spent.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Robert Preston'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®

CFP^®

Certified Financial Planner

Experience

Current

January 6, 2011 - Present

NEW HARBOR FINANCIAL GROUP, LLC

Office #1: 146 Main Street Suite 302, Worcester, MA 01608

RIA

CRD#: 155528

Worcester, MA

Past

January 3, 2011 - December 31, 2017

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

LEOMINSTER, MA

Past

January 14, 2005 - December 31, 2010

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

LEOMINSTER, MA

Past

February 2, 2004 - February 8, 2005

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WORCESTER, MA

Past

December 10, 1999 - February 8, 2005

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

NEW HARBOR FINANCIAL GROUP, LLC

NEW HARBOR FINANCIAL GROUP LLC | NEW HARBOR FINANCIAL GROUP, LLC

CRD#: 155528 / SEC#: 801-72007

RIA

Registered Investment Advisory firm - (12/21/2010 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
(1/6/2011)

IAR

Texas
(2/10/2011)

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

Series 63

Date: 12/21/1999

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/20/1999

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/9/1999

General Securities Representative Examination

Current Firm

NEW HARBOR FINANCIAL GROUP, LLC

NEW HARBOR FINANCIAL GROUP LLC | NEW HARBOR FINANCIAL GROUP, LLC

CRD#: 155528 / SEC#: 801-72007

RIA

Registered Investment Advisory firm - (12/21/2010 Approved)

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Contact information

Main Address

146 Main Street Suite 302, Worcester, MA 01608

Mailing Address

Phone number

(978) 537-7701

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NEW HARBOR FINANCIAL DISCLOSURE BROCHURE (7/29/2025)

Regulatory assets under management

Total Number of Accounts	2,012
AUM (Assets Under Management)	$ 576,915,016

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

Michael R. Preston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Robert Preston's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

COMMONWEALTH FINANCIAL NETWORK

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

NEW HARBOR FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/21/1999

Series 65

Date: 12/20/1999

SIE

Date: 12/31/2017

Series 7

Date: 12/9/1999

Current Firm

NEW HARBOR FINANCIAL GROUP, LLC

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEW HARBOR FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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