PV
Preston J. Vaught
TLWM FINANCIAL
San Antonio, TX 78216
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CRD#: 6533983
PV
Professional summary
Preston James Vaught, who also goes by Preston James Vaught, Preston Vaught, is a registered financial advisor currently at TLWM FINANCIAL located in San Antonio, Texas and LPL FINANCIAL LLC located in San Antonio, Texas.
Preston is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Preston has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Preston James Vaught | Preston Vaught
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) 02/26/2018 - TLWM, LLC - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 02/2018 - 160 hr/mth 2) 02/26/2018 - TLWM, LLC - Non-Variable Insurance - fixed life, fixed annuities, LTC, disability - inv rel - at reported business location(s) - start: 02/2018 - 20 hr/mth 3) 2/20/2018 - TLWM, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date:2/20/2018 - 160 Hours Per Month/7 Hours During Trading. 4) 2/2/2022 - TLWM, LLC - DBA: TLWM Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 10/28/2021 - 130 Hours Per Month/130 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Preston James Vaught'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®
NoneExperience
Current
March 7, 2018 - Present
TLWM FINANCIAL
Office #1: 40 Ne Loop 410 Suite 644, San Antonio, TX 78216RIA
CRD#: 158305
San Antonio, TX
Current
March 1, 2018 - Present
LPL FINANCIAL LLC
Office #1: 40 Ne Loop 410 Ste 644, San Antonio, TX 78216RIA
BD
CRD#: 6413
San Antonio, TX
Past
August 9, 2016 - March 28, 2018
S HARRIS FINANCIAL GROUP, LLC
RIA
CRD#: 151899
SAN ANTONIO, TX
Past
June 6, 2016 - February 27, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
SAN ANTONIO, TX
Past
November 30, 2015 - May 20, 2016
EDWARD JONES
RIA
CRD#: 250
SCHERTZ, TX
Past
September 15, 2015 - May 20, 2016
EDWARD JONES
BD
CRD#: 250
SCHERTZ, TX
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".
TF
TLWM FINANCIAL
DOULOS WEALTH MANAGEMENT | TLWM, LLC | TLWM FINANCIAL | TEXAS LEGACY WEALTH MANAGEMENT | TDF PLATINUM WEALTH MANAGEMENT | RSB WEALTH STRATEGIES | PELLEGRINO AND ASSOCIATES FINANCIAL SERVICES, LLC | JORDAN FINANCIAL GROUP, INC. | FREE FINANCIAL GROUP
CRD#: 158305 / SEC#: 801-79214
RIA
Registered Investment Advisory firm - (2/28/2014 Approved)Texas
Registered Investment Advisory firm - (3/3/2014 Terminated)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.RR
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
RR
Texas(3/1/2018)
IAR
Texas(3/7/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TLWM FINANCIAL
DOULOS WEALTH MANAGEMENT | TLWM, LLC | TLWM FINANCIAL | TEXAS LEGACY WEALTH MANAGEMENT | TDF PLATINUM WEALTH MANAGEMENT | RSB WEALTH STRATEGIES | PELLEGRINO AND ASSOCIATES FINANCIAL SERVICES, LLC | JORDAN FINANCIAL GROUP, INC. | FREE FINANCIAL GROUP
CRD#: 158305 / SEC#: 801-79214
RIA
Registered Investment Advisory firm - (2/28/2014 Approved)Texas
Registered Investment Advisory firm - (3/3/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
40 Ne Loop 410 Suite 644, San Antonio, TX 78216
Mailing Address
Phone number
+1 (877) 348-8822
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,008 |
| AUM (Assets Under Management) | $ 577,253,765 |
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.
