Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Preston has over 25 years of experience in the financial industry. Stephen is currently registered with Northern Lights Distributors, LLC and Ultimus Fund Distributors, LLC. Stephen has held previous roles at Unified Financial Securities, LLC, INTL TRADING, INC., ADVANTAGE CAPITAL CORPORATION, FSC SECURITIES CORPORATION, IRON CAPITAL MARKETS, INC., PFIC SECURITIES CORPORATION, LINCOLN FINANCIAL ADVISORS CORPORATION, THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, PRUDENTIAL SECURITIES INCORPORATED, J.J.B. HILLIARD, W.L. LYONS, INC., HEIDTKE & COMPANY, INC., and H. L. CAMP & COMPANY, 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.
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.
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2
NE
10/30/2019 - Present
Northern Lights Distributors, LLC (ELKHORN NE)
IN
01/21/2016 - 01/21/2020
UNIFIED FINANCIAL SECURITIES, LLC (INDIANAPOLIS IN)
FL
02/01/2008 - 06/28/2010
INTL TRADING, INC. (WINTER PARK FL)
GA
09/28/2005 - 01/28/2008
ADVANTAGE CAPITAL CORPORATION (ATLANTA GA)
GA
09/23/2003 - 01/28/2008
FSC SECURITIES CORPORATION (ATLANTA GA)
IL
07/02/2003 - 08/07/2003
IRON CAPITAL MARKETS, INC. (CHICAGO IL)
GA
07/17/2001 - 08/20/2001
ADVANTAGE CAPITAL CORPORATION (ATLANTA GA)
GA
06/20/2000 - 08/17/2001
FSC SECURITIES CORPORATION (ATLANTA GA)
TN
02/02/1998 - 06/12/2000
PFIC SECURITIES CORPORATION (FRANKLIN TN)
IN
03/14/1997 - 08/13/1997
LINCOLN FINANCIAL ADVISORS CORPORATION (FORT WAYNE IN)
IN
03/14/1997 - 08/13/1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (FORT WAYNE IN)
NY
05/10/1995 - 07/18/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
KY
04/05/1993 - 04/25/1995
J.J.B. HILLIARD, W.L. LYONS, INC. (LOUISVILLE KY)
TN
06/25/1992 - 04/06/1993
HEIDTKE & COMPANY, INC. (NASHVILLE TN)
TN
03/18/1992 - 07/14/1992
H. L. CAMP & COMPANY, INC. (NASHVILLE TN)
BOTH
Issued 10/28/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/18/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 12/21/1998
Series 27 - Financial and Operations Principal Examination
BC
Issued 10/29/1998
Series 4 - Registered Options Principal Examination
BC
Issued 05/04/1998
Series 24 - General Securities Principal Examination
BC
Issued 03/20/1998
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/26/2008
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/21/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 06/08/1992
Series 7 - General Securities Representative Examination
BC
Issued 03/16/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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