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PH

Preston W. Haxo

MONDEUM CAPITAL
Southampton, NY 11968
Some features on this profile are disabled
CRD#: 6267154
PH

Professional summary

Preston William Haxo is a registered financial professional currently at MONDEUM CAPITAL located in Southampton, New York.

Preston is registered as a RR (Registered Representative) and started their career in finance in 2021. Preston has worked at 1 firm and has passed the Series 99TO and Series 24 exams.

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) - BD

Click below to view Preston William Haxo'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

January 5, 2021 - Present

MONDEUM CAPITAL

Office #1: 27 Main Street Suite B, Southampton, NY 11968
BD
CRD#: 309574
Southampton, NY

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

General Industry/Product Exam
RR
Series 99TO
Date: 2/3/2025
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/5/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MC
MONDEUM CAPITAL
MONDEUM | MONDEUM CAPITAL, LLC | MONDEUM CAPITAL

CRD#: 309574 / SEC#: , 8-70542

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
27 Main Street Suite B, Southampton, NY 11968
Mailing Address
27 Main Street Suite B, Southampton, NY 11968
Phone number
+1 (833) 781-6338
Established
New York since 05/20/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MONDEUM FINANCIAL HOLDINGS INC.SOLE MEMBER
CLIFFORD, JOHN CHANDLERFINOP, PFO, ROP, POO2249584
HAXO, PRESTON WILLIAMCCO6267154
MILANI, MICHAEL JAMESCEO, EXECUTIVE REP3112957

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

MONDEUM CAPITAL

CRD#: 309574Southampton, NY 11968

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