Preston J. Parsons

GRADIENT SECURITIES

Elkhorn, NE

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CRD#: 5317516

Professional summary

Preston James Parsons, who also goes by Preston J. Parsons, Preston James Parsons, Preston Parsons, is a registered financial professional currently at GRADIENT SECURITIES, LLC located in Elkhorn, Nebraska.

Preston is registered as a RR (Registered Representative) and started their career in finance in 2007. Preston has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Preston J. Parsons | Preston James Parsons | Preston Parsons

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) - BD

Click below to view Preston James Parsons'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®

None

Experience

Current

June 12, 2019 - Present

GRADIENT SECURITIES, LLC

RIA

CRD#: 127701

Elkhorn, NE

Past

March 1, 2019 - April 23, 2019

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

ELKHORN, NE

Past

October 7, 2013 - March 1, 2019

QUESTAR CAPITAL CORPORATION

CRD#: 43100

ELKHORN, NE

Past

July 6, 2010 - November 5, 2013

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

OMAHA, NE

Past

October 16, 2008 - August 3, 2009

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

OMAHA, NE

Past

April 16, 2007 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

OMAHA, NE

Past

April 16, 2007 - September 17, 2008

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

OMAHA, NE

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".

GRADIENT SECURITIES, LLC

GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT

CRD#: 127701 / SEC#: 801-80807, 8-66032

RIA

Registered Investment Advisory firm - SEC (1/8/2015 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(6/12/2019)

Florida
(9/23/2019)

Illinois
(5/2/2022)

Iowa
(6/12/2019)

Kansas
(8/1/2023)

Missouri
(6/25/2020)

Nebraska
(6/12/2019)

North Carolina
(12/4/2019)

Oklahoma
(9/10/2025)

South Dakota
(6/12/2019)

Texas
(8/4/2020)

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: 4/27/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/13/2007

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

GRADIENT SECURITIES, LLC

GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT

CRD#: 127701 / SEC#: 801-80807, 8-66032

RIA

Registered Investment Advisory firm - SEC (1/8/2015 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

4105 Lexington Avenue Suite 380, Arden Hills, MN 55126

Mailing Address

4105 Lexington Avenue Suite 380, Arden Hills, MN 55126

Phone number

(866) 991-1539

Established

Delaware since 04/09/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

GWM ADV PART 2A & 2B (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
MERAKI PRIVATE EQUITY, LLC	OWNER
JOCHUM, JAMIE LEE	FINOP	4459768
LUCIUS, CHARLES EDWARD	OWNER MERAKI PRIVATE EQUITY, LLC	1012912
LUCIUS, TAMI JEAN	OWNER MERAKI PRIVATE EQUITY, LLC	2371362
NELSON, ROBERT SCOTT	PRESIDENT & ELECTED MANAGER	4237080
REMME, BRIAN ANDREW	CHIEF COMPLIANCE OFFICER	3103459

Regulatory assets under management

Total Number of Accounts	7,322
AUM (Assets Under Management)	$ 591,069,287

Disclosures

Regulatory Event

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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Preston J. Parsons

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Preston James Parsons's CRS (Customer Relationship Summary).

Certified licenses

Experience

WOODBURY FINANCIAL SERVICES, INC.

QUESTAR CAPITAL CORPORATION

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

GRADIENT SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/27/2007

SIE

Date: 10/1/2018

Series 6

Date: 4/13/2007

FINRA

Current Firm

GRADIENT SECURITIES, LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GRADIENT SECURITIES, LLC

TRUST BUT VERIFY

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