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PD

Preston O. Duppins

SCHWAB WEALTH ADVISORY
Wesley Chapel, FL
Some features on this profile are disabled
CRD#: 6732539
PD
Preston O Duppins IIISCHWAB WEALTH ADVISORY

Professional summary

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, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Wesley Chapel, Florida and CHARLES SCHWAB & CO., INC. located in Orlando, Florida.

Preston is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Preston has worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 9 and Series 10 exams.

Aliases

Preston Odell Duppins Iii | Preston Odell Duppins Iii | Preston Duppinns | Preston Duppinnsiii | Preston O Duppins | Preston Duppins | Preston Duppinsiii

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) - RIA

Click below to view Preston O Duppins III'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

August 11, 2026 - Present

SCHWAB WEALTH ADVISORY, INC.

RIA
CRD#: 159035
Wesley Chapel, FL
Current

August 11, 2026 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 1991 Summit Park Drive, Orlando, FL 32810
RIA
BD
CRD#: 5393
Orlando, FL
Past

November 4, 2024 - July 19, 2026

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
Wesley Chapel, FL
Past

November 4, 2024 - July 19, 2026

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Wesley Chapel, FL
Past

October 5, 2021 - November 19, 2024

MORGAN STANLEY

RIA
CRD#: 149777
Tampa, FL
Past

October 4, 2021 - November 19, 2024

MORGAN STANLEY

BD
CRD#: 149777
Tampa, FL
Past

April 20, 2021 - January 28, 2022

ERNST & YOUNG INVESTMENT ADVISERS LLP

RIA
CRD#: 110921
Tampa, FL
Past

July 28, 2020 - December 2, 2020

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
CHANDLER, AZ
Past

July 22, 2020 - December 1, 2020

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
CHANDLER, AZ
Past

November 3, 2017 - July 7, 2020

MORGAN STANLEY

RIA
CRD#: 149777
GILBERT, AZ
Past

September 21, 2017 - July 7, 2020

MORGAN STANLEY

BD
CRD#: 149777
GILBERT, AZ

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".
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA
Registered Investment Advisory firm - (12/9/2011 Approved)

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
Florida
(8/11/2026)
RR
Texas
(8/11/2026)
IAR
Texas
(8/11/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/2/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/21/2017
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/8/2018
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 9/11/2018
General Securities Sales Supervisor - General Module Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA
Registered Investment Advisory firm - (12/9/2011 Approved)
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Contact information

Main Address
9800 Schwab Way, Lone Tree, CO 80124
Mailing Address
Phone number
(415) 667-7000
Established
Firm type
Fiscal year end
# of Employees
1,042

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (12/11/2025)

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

SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035Wesley Chapel, FL

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