Preston T. Dodd

MISSION CAPITAL ADVISORS

Sunnyvale, CA 94085

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CRD#: 5853572

Professional summary

Preston Towers Dodd is a registered financial advisor currently at MISSION CAPITAL ADVISORS INC. located in Sunnyvale, California.

Preston is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Preston has worked at 7 firms and has passed the Series 65, Series 66, SIE, Series 31 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) NOB: MISSION CAPITAL ADVISORS INC. TITLE: CONSULTANT, Consulting Business, 710 Lakeway Drive, Suite 200, Sunnyvale, CA 94085. START DATE 06/2022, Mission Capital Advisors Inc., operates a research and consulting business separate and distinct from the Firm's advisory services that provides general guidance on management, operations, and strategy to his consulting clients. The advice is non-discretionary in nature and does not include continuous management or supervision over securities portfolios and compensation is set via hourly billings or a monthly retainer and is independent of "success" criteria. Hours devoted to the business during securities trading hours and on a monthly basis vary according to the nature of the project or retainer.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Preston Towers Dodd's 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

September 30, 2024 - Present

MISSION CAPITAL ADVISORS INC.

Office #1: 710 Lakeway Drive, Suite 200, Sunnyvale, CA 94085

RIA

CRD#: 331522

Sunnyvale, CA

Past

November 2, 2021 - June 23, 2022

INDEPENDENT BROKERAGE SOLUTIONS LLC

CRD#: 153563

New York, NY

Past

June 6, 2018 - October 27, 2021

MISSION CAPITAL ADVISORS INC.

RIA

CRD#: 296160

SAN FRANCISCO, CA

Past

March 5, 2018 - April 30, 2021

GORDIAN INVESTMENTS, LLC

CRD#: 158611

OREGON HOUSE, CA

Past

March 5, 2015 - June 14, 2016

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

San Francisco, CA

Past

March 4, 2015 - June 14, 2016

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

SAN FRANCISCO, CA

Past

February 28, 2011 - March 4, 2015

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

SAN FRANCISCO, CA

Past

January 28, 2011 - March 4, 2015

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

SAN FRANCISCO, CA

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

California
(9/30/2024)

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

IAR

Series 65

Date: 8/28/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 2/26/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/10/2013

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/26/2011

General Securities Representative Examination

Current Firm

MISSION CAPITAL ADVISORS INC.

CRD#: 331522 / SEC#:

California

Registered Investment Advisory firm - (9/30/2024 Approved)

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Contact information

Main Address

710 Lakeway Drive Suite 200, Sunnyvale, CA 94085

Mailing Address

Phone number

(415) 663-6764

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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 T. Dodd

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Preston Towers Dodd's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT BROKERAGE SOLUTIONS LLC

MISSION CAPITAL ADVISORS INC.

GORDIAN INVESTMENTS, LLC

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

ALLIANCEBERNSTEIN L.P.

SANFORD C. BERNSTEIN & CO., LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/28/2024

Series 66

Date: 2/26/2011

SIE

Date: 10/1/2018

Series 31

Date: 5/10/2013

Series 7

Date: 1/26/2011

Current Firm

MISSION CAPITAL ADVISORS INC.

Contact information

Documents

Red Flags

Company Information

MISSION CAPITAL ADVISORS INC.

TRUST BUT VERIFY

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