Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Preston? Claim Your ProfilePreston Smiley is a financial professional registered with Northwestern Mutual Investment Services, LLC and holds the Series 7TO, Series 63, and SIE licenses. Preston has been in the financial industry since 2020 and is licensed to provide financial services in Kentucky. Preston is a highly skilled and experienced financial professional committed to providing clients with personalized financial guidance and strategies to help them achieve their financial goals. Prior to joining Northwestern Mutual Investment Services, LLC, Preston was employed at LPL FINANCIAL LLC.
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.
Investment research; referrals to other advisers
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.
Referral fees
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2
KY
11/15/2023 - Present
Northwestern Mutual Investment Services, LLC (LOUISVILLE KY)
KY
10/06/2020 - 09/28/2023
LPL FINANCIAL LLC (VINE GROVE KY)
BC
Issued 12/17/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/19/2024
Series 7TO - General Securities Representative Examination
BC
Issued 10/06/2020
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 09/11/2020
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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