Preston O. Duppins
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Preston O Duppins III, who also goes by Preston Odell Duppins III, Preston Odell Duppins III, Preston Duppinns, Preston Duppinnsiii, Preston O Duppins, Preston Duppins, Preston Duppinsiii, was a registered financial professional .
Preston is a previously registered financial professional and started their career in finance in 2017. Preston had worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 9 and Series 10 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2024 - July 19, 2026
J.P. MORGAN SECURITIES LLC
November 4, 2024 - July 19, 2026
J.P. MORGAN SECURITIES LLC
October 5, 2021 - November 19, 2024
MORGAN STANLEY
October 4, 2021 - November 19, 2024
MORGAN STANLEY
April 20, 2021 - January 28, 2022
ERNST & YOUNG INVESTMENT ADVISERS LLP
July 28, 2020 - December 2, 2020
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 22, 2020 - December 1, 2020
FIDELITY BROKERAGE SERVICES LLC
November 3, 2017 - July 7, 2020
MORGAN STANLEY
September 21, 2017 - July 7, 2020
MORGAN STANLEY
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLAVITA, MOLLIE | ELECTED MANAGER | 1875615 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 393 |
| Civil Event | 9 |
| Arbitration | 144 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 |
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.
