James Preston is a registered investment advisor, based in Venice, FL, with 33 years of industry experience.
Location
Venice, FL
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
James is an independent insurance agent since 2014, spending minimal time on this. He also works as a financial professional and advisory representative of a registered investment advisor, dedicating significant time to these roles.
Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
April 2014 - Present · 12 yrs 1 mo
Cambridge Investment Research, INC.Broker
April 2014 - Present · 12 yrs 1 mo
Previous Registrations
LPL Financial LLC
January 2006 - April 2014 · 8 yrs 3 mos
LPL Financial LLCBroker
June 2005 - April 2014 · 8 yrs 10 mos
Edward JonesBroker
February 2002 - June 2005 · 3 yrs 4 mos
A. G. Edwards & Sons, INC.Broker
February 2000 - March 2002 · 2 yrs 1 mo
Aal Capital Management CorporationBroker
November 1992 - February 2000 · 7 yrs 3 mos
State Registrations3 states
COFLIN
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.