Margaret-mary V. Preston
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.
Margaret-mary Voudouris Preston, who also goes by Margaret Mary Voudouris Preston, Margaretmary Voudouris Preston, Tami Preston, Margaret Mary Voudouris, was a registered financial professional .
Margaret-mary is a previously registered financial professional and started their career in finance in 1992. Margaret-mary had worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 62 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2014 - July 5, 2019
TD PRIVATE CLIENT WEALTH LLC
July 16, 2014 - July 5, 2019
TD PRIVATE CLIENT WEALTH LLC
October 23, 2009 - June 17, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - June 17, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 11, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 5, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 10, 2004 - May 1, 2006
MERCANTILE BROKERAGE SERVICES, INC.
August 9, 2002 - December 10, 2004
MERCANTILE SECURITIES, INC.
January 13, 2001 - April 30, 2002
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - January 13, 2001
DB ALEX. BROWN LLC
August 4, 1992 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
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
Series 62
Date: 7/31/1992
Corporate Securities Limited Representative ExaminationCurrent Firm
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 25,697 |
| AUM (Assets Under Management) | $ 8,255,945,350 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 |
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.
