Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Preston? Claim Your ProfilePreston Roy Caldwell is a registered investment advisor representative with BNY Advisors, a firm with offices in Pennington, NJ. Preston has been in the industry since December 5, 2008 and is active in both broker-dealer and investment advisor capacities. Preston has Series 6, 7, 52, and 66 registrations, as well as SIE. Preston has experience working with clients in a variety of areas, including individuals, corporations, and charitable organizations. Preston's prior experience was at UAM Fund Distributors, Inc., and they hold a variety of industry designations.
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.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Mutual fund screening, model portfolio delivery
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.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Asset based fees related to model portfolio delivery
1
2
NJ
07/28/2009 - Present
BNY Advisors (PENNINGTON NJ)
MA
02/28/2000 - 06/21/2000
UAM FUND DISTRIBUTORS, INC. (BOSTON MA)
BOTH
Issued 07/27/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/01/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/30/2009
Series 7 - General Securities Representative Examination
BC
Issued 02/24/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
MIAX Sapphire
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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