Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Phillip? Claim Your ProfilePhillip Preston is a financial advisor with Charles Schwab & Co., Inc. in Lone Tree, Colorado. Phillip has been in the financial services industry since June 28, 2001, and has worked with a number of different financial firms during that time. Phillip's past experience includes working at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC and OppenheimerFunds Distributor, Inc. Phillip holds a number of financial licenses including Series 6, 7, 63, and 65, as well as the SIE exam. Phillip is registered to provide investment advice in 53 states and the District of Columbia. Phillip focuses his practice on providing financial planning services and is a Registered Representative of Charles Schwab & Co., Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
CO
08/27/2018 - Present
Charles Schwab & CO., Inc. (Lone Tree CO)
CO
09/22/2004 - 03/14/2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (DENVER CO)
NY
12/18/2003 - 01/09/2004
OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)
TX
10/19/1999 - 06/02/2003
INVESCO DISTRIBUTORS, INC. (HOUSTON TX)
IA
Issued 05/31/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/18/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/22/2008
Series 7 - General Securities Representative Examination
BC
Issued 10/18/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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