Preston A. Spears

WORLD EQUITY GROUP

Woodstock, GA 30189

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CRD#: 861779

Professional summary

Preston Aubrey Spears is a registered financial advisor currently at WORLD EQUITY GROUP, INC. located in Woodstock, Georgia.

Preston is registered as a RR (Registered Representative) and started their career in finance in 1979. Preston has worked at 18 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, Series 7TO, SIE, Series 7, Series 3, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 Aubrey Spears'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

November 12, 2021 - Present

WORLD EQUITY GROUP, INC.

Office #1: 2230 Towne Lake Parkway Bldg 800, Suite 140, Woodstock, GA 30189

RIA

CRD#: 29087

Woodstock, GA

Past

August 6, 2009 - October 25, 2019

TAYLOR CAPITAL MANAGEMENT INC.

CRD#: 43559

WOODSTOCK, GA

Past

August 31, 2006 - December 31, 2007

RESOURCE HORIZONS GROUP LLC

RIA

CRD#: 104368

WOODSTOCK, GA

Past

August 23, 2006 - December 31, 2007

RESOURCE HORIZONS GROUP LLC

CRD#: 104368

MARIETTA, GA

Past

November 2, 2004 - April 5, 2006

WOODSTOCK FINANCIAL GROUP, INC.

CRD#: 38095

WOODSTOCK, GA

Past

November 1, 2004 - April 5, 2006

WOODSTOCK FINANCIAL GROUP, INC.

RIA

CRD#: 38095

ATLANTA, GA

Past

May 5, 2003 - November 23, 2004

YOUNG INVESTMENT ADVISORS, INC

RIA

CRD#: 117415

ATLANTA, GA

Past

August 9, 2000 - January 3, 2003

WOODSTOCK FINANCIAL GROUP, INC.

CRD#: 38095

WOODSTOCK, GA

Past

March 3, 1993 - October 19, 1993

MERIDIAN, DUNHILL & CO., INC.

CRD#: 15294

Past

December 22, 1990 - March 8, 1991

PACIFIC SOUTHERN SECURITIES, INC.

CRD#: 13155

Past

June 27, 1989 - April 17, 1990

BARKLEY-LOCKMAN INVESTMENTS INC.

CRD#: 21933

Past

July 21, 1988 - June 16, 1989

W. D. FARD SECURITIES, INC.

CRD#: 15166

Past

March 23, 1987 - April 5, 1988

CITADEL CAPITAL GROUP, INC.

CRD#: 12976

Past

April 23, 1986 - July 28, 1986

CORPORATE MANAGEMENT GROUP SECURITIES, INC.

CRD#: 16138

Past

September 23, 1985 - December 20, 1986

CORNWALL SECURITIES, INC.

CRD#: 8334

Past

June 4, 1984 - April 3, 1986

FIRST AFFILIATED SECURITIES, INC.

CRD#: 6871

Past

November 30, 1983 - March 23, 1984

AMERICAN COMMERCIAL SECURITIES CORPORATION

CRD#: 10275

Past

May 12, 1982 - July 1, 1983

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

March 12, 1982 - May 20, 1982

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

December 24, 1981 - February 10, 1982

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

June 9, 1980 - November 27, 1981

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

October 11, 1979 - May 14, 1980

LEHMAN BROTHERS KUHN LOEB INCORPORATED

CRD#: 7555

Past

February 1, 1979 - October 14, 1979

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

WORLD EQUITY GROUP, INC.

CRD#: 29087 / SEC#: 801-56328, 8-44088

RIA

Registered Investment Advisory firm - SEC (3/26/1999 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

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

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

Georgia
(11/22/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/13/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/11/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/8/2000

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 11/3/1982

National Commodity Futures Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

WORLD EQUITY GROUP, INC.

CRD#: 29087 / SEC#: 801-56328, 8-44088

RIA

Registered Investment Advisory firm - SEC (3/26/1999 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

425 N Martingale Road Suite 1220, Schaumburg, IL 60173

Mailing Address

425 N Martingale Road Suite 1200, Schaumburg, IL 60173

Phone number

(847) 342-1700

Established

Illinois since 09/13/1991

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

170

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADHESION PROGRAM WRAP FEE BROCHURE (5/20/2025)

WORLD EQUITY GROUP ADV PART II (5/20/2025)

REP MANAGER PROGRAM WRAP FEE BROCHURE (5/20/2025)

Direct owners and executive officers

Name	Position	CRD#
WENTWORTH MANAGEMENT SERVICES, LLC	OWNER
DUDAS, STEPHEN STANLEY	PRESIDENT	4820047
GOULD, CRAIG MICHAEL	CHIEF EXECUTIVE OFFICER	2367293
LISHCHYNSKY, MARK JOHN JR	CHIEF OPERATING OFFICER	2478952
WEBB, WILLIAM DUDLEY JR	CHIEF COMPLIANCE OFFICER	1256777

Regulatory assets under management

Total Number of Accounts	3,151
AUM (Assets Under Management)	$ 944,844,374

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Preston A. Spears

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Preston Aubrey Spears's CRS (Customer Relationship Summary).

Certified licenses

Experience

TAYLOR CAPITAL MANAGEMENT INC.

RESOURCE HORIZONS GROUP LLC

RESOURCE HORIZONS GROUP LLC

WOODSTOCK FINANCIAL GROUP, INC.

WOODSTOCK FINANCIAL GROUP, INC.

YOUNG INVESTMENT ADVISORS, INC

WOODSTOCK FINANCIAL GROUP, INC.

MERIDIAN, DUNHILL & CO., INC.

PACIFIC SOUTHERN SECURITIES, INC.

BARKLEY-LOCKMAN INVESTMENTS INC.

W. D. FARD SECURITIES, INC.

CITADEL CAPITAL GROUP, INC.

CORPORATE MANAGEMENT GROUP SECURITIES, INC.

CORNWALL SECURITIES, INC.

FIRST AFFILIATED SECURITIES, INC.

AMERICAN COMMERCIAL SECURITIES CORPORATION

THOMSON MCKINNON SECURITIES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CIBC WORLD MARKETS CORP.

THOMSON MCKINNON SECURITIES INC.

LEHMAN BROTHERS KUHN LOEB INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

WORLD EQUITY GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/13/2000

Series 63

Date: 8/11/2000

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/8/2000

Series 3

Date: 11/3/1982

Series 14

Date: 1/2/2023

Series 24

Date: 1/2/2023

FINRA

Current Firm

WORLD EQUITY GROUP, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

WORLD EQUITY GROUP, INC.

TRUST BUT VERIFY

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