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JC

James P. Carlson

CAPSTONE PARTNERS
Atlanta, GA 30326
Some features on this profile are disabled
CRD#: 6546583
JC

Professional summary

James Preston Carlson, who also goes by Preston Carlson, is a registered financial professional currently at CAPSTONE PARTNERS located in Atlanta, Georgia.

James is registered as a RR (Registered Representative) and started their career in finance in 2015. James has worked at 6 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Preston Carlson

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 James Preston Carlson'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

January 9, 2026 - Present

CAPSTONE PARTNERS

Office #1: 3560 Lenox Rd, Nw 11th Floor, Atlanta, GA 30326
BD
CRD#: 132185
Atlanta, GA
Past

February 5, 2024 - January 14, 2026

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
Atlanta, GA
Past

October 20, 2021 - January 22, 2024

SCOTIA CAPITAL (USA) INC.

BD
CRD#: 2739
NEW YORK, NY
Past

July 15, 2021 - September 10, 2021

HOULIHAN LOKEY CAPITAL, INC.

BD
CRD#: 17708
ATLANTA, GA
Past

July 12, 2019 - June 14, 2021

TRUIST SECURITIES, INC.

BD
CRD#: 6271
ATLANTA, GA
Past

October 27, 2015 - July 31, 2018

DREXEL HAMILTON, LLC

BD
CRD#: 143570
Atlanta, GA

State Registrations and Notice Filings

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

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
Georgia
(1/9/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 11/21/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/12/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/31/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/27/2015
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CP
CAPSTONE PARTNERS
CAPSTONE CAPITAL MARKETS LLC | CAPSTONE PARTNERS | CAPSTONE HEADWATERS

CRD#: 132185 / SEC#: , 8-66572

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

Main Address
10 Post Office Square Suite 800n, Boston, MA 02109
Mailing Address
10 Post Office Square Suite 800n, Boston, MA 02109
Phone number
(617) 619-3300
Established
Delaware since 04/08/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (18 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CAPSTONE CORPORATE FINANCE LLCDIRECT OWNER
BEEKMAN, TODD ANDREWDIRECTOR6291198
CASPER, MARK VERNON JR.CHIEF FINANCIAL OFFICER6682711
FERRARA, JOHN MARIO IIPRESIDENT2097226
JANSON, PAUL EDWARDDIRECTOR4992234
KLEINMAN, SCOTT DAVIDDIRECTOR2357636
MILCETICH, MATTHEW LOUISEXECUTIVE MANAGING DIRECTOR6419334
SZWAGULAK, JOHNCHIEF COMPLIANCE OFFICER4033023
VALDIVIA, SERENAAML OFFICER7790899

Disclosures

Regulatory Event1

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

CAPSTONE PARTNERS

CRD#: 132185Atlanta, GA 30326

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