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PW

Preston R. Wood

Some features on this profile are disabled
CRD#: 5241099
PW

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 Ryan Wood was a registered financial professional .

Preston is a previously registered financial professional and started their career in finance in 2006. Preston had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 30, 2015 - April 1, 2016

DEL MAR WEALTH MANAGEMENT INC

RIA
CRD#: 175022
SAN DIEGO, CA
Past

July 9, 2013 - January 16, 2015

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
LA JOLLA, CA
Past

July 9, 2013 - January 16, 2015

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
LA JOLLA, CA
Past

October 1, 2012 - June 4, 2013

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
GILBERT, AZ
Past

October 1, 2012 - June 4, 2013

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
GILBERT, AZ
Past

February 21, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
GILBERT, AZ
Past

January 10, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
GILBERT, AZ
Past

September 26, 2011 - January 20, 2012

EAGLE STRATEGIES LLC

RIA
CRD#: 110826
SCOTTSDALE, AZ
Past

June 20, 2011 - January 20, 2012

NYLIFE SECURITIES LLC

BD
CRD#: 5167
SCOTTSDALE, AZ
Past

September 13, 2010 - June 2, 2011

SCOTTRADE, INC.

BD
CRD#: 8206
SCOTTSDALE, AZ
Past

January 14, 2008 - February 16, 2010

WALTON SECURITIES, INC.

BD
CRD#: 143763
SCOTTSDALE, AZ
Past

November 22, 2006 - January 10, 2008

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
PHOENIX, AZ

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".
DM
DEL MAR WEALTH MANAGEMENT INC
DEL MAR WEALTH MANAGEMENT | JACKSON WEALTH MANAGEMENT GROUP, INC. | JACKSON WEALTH MANAGEMENT GROUP | DEL MAR WEALTH MANAGEMENT INC

CRD#: 175022 / SEC#: 801-119990

RIA
Registered Investment Advisory firm - (12/17/2020 Approved)
California
Registered Investment Advisory firm - (1/20/2021 Terminated)
Louisiana
Registered Investment Advisory firm - (5/2/2018 Terminated)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/1/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/13/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/16/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/21/2006
General Securities Representative Examination

Current Firm

DM
DEL MAR WEALTH MANAGEMENT INC
DEL MAR WEALTH MANAGEMENT | JACKSON WEALTH MANAGEMENT GROUP, INC. | JACKSON WEALTH MANAGEMENT GROUP | DEL MAR WEALTH MANAGEMENT INC

CRD#: 175022 / SEC#: 801-119990

RIA
Registered Investment Advisory firm - (12/17/2020 Approved)
California
Registered Investment Advisory firm - (1/20/2021 Terminated)
Louisiana
Registered Investment Advisory firm - (5/2/2018 Terminated)
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Contact information

Main Address
1110 Camino Del Mar Suite B, Del Mar, CA 92014
Mailing Address
Phone number
(858) 480-3818
Established
Firm type
Fiscal year end
# of Employees
2

SEC notice filing (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DEL MAR WEALTH MGMT - PART 2 DISCLOSURE BROCHURE (2/28/2025)

Regulatory assets under management

Total Number of Accounts273
AUM (Assets Under Management)$ 147,517,296

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.

Company Information

DEL MAR WEALTH MANAGEMENT INC

CRD#: 175022

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