Richard Preston has been an investment adviser representative at Parvin Asset Management since January 2022, and is not listed among the firm’s executive officers or direct owners.
Parvin Asset Management, LLC is a Sioux Falls, SD firm with $179M under management, 101 clients and 3 advisers in one office, as of its March 2026 filing.
Richard P. Preston is Director, Capital Markets of Parvin Asset Management. He is responsible for marketing the firm's investment services and assisting with portfolio management efforts. He has been involved in the securities industry for more than 30 years, most recently as First Vice President at Wells Fargo Advisors and as Manager of the First Union Securities office in Augusta, GA.
Richard Preston’s longest registration was 11 years at Wells Fargo Advisors, LLC (2003–2014). Before joining Parvin Asset Management in 2022, Richard Preston was registered through Parvin Asset Management and Wells Fargo Advisors, LLC.
- Parvin Asset Management, LLCCurrent– present · 4 yearsAiken, SC · Adviser representative · Firm CRD 315701
- Parvin Asset Management– · 6 yearsAugusta, GA · Adviser representative · Firm CRD 161656
- Wells Fargo Advisors, LLC– · 11 yearsAugusta, GA · Adviser representative · Firm CRD 19616
Investment adviser representative registrations
Richard Preston is registered as an investment adviser representative in South Carolina, since January 2022.
- South CarolinaSince 6 January 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 23 September 1994 |
| Series 65 | Uniform Investment Adviser Law Examination | 3 May 1994 |
| Series 63 | Uniform Securities Agent State Law Examination | 29 March 1989 |
| Series 7 | General Securities Representative Examination | 18 March 1989 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Richard Peabody Preston
- CRD
- 1921622
- Firm
- Parvin Asset Management · CRD 315701
- Office
- Aiken, SC
- Registration
- Investment adviser registration
- In the industry since
- May 2003
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- parvinam.com
Where does Richard Preston work?
Richard Preston is an investment adviser representative registered through Parvin Asset Management, LLC since January 2022, and is not listed among the firm’s executive officers or direct owners.
Is Richard Preston a financial advisor?
Yes. Richard Preston has a current investment-adviser registration in South Carolina, through Parvin Asset Management since January 2022.
How many years of experience does Richard Preston have?
Richard Preston has 23 years in the financial industry, since May 2003, across 3 adviser firms.
What exams has Richard Preston passed?
Richard Preston has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 8. The earliest, the Series 7, was passed in March 1989. FINRA credited Richard Preston with the SIE, which began in October 2018.
Where did Richard Preston work before Parvin Asset Management?
Before Parvin Asset Management, Richard Preston was registered through Parvin Asset Management (CRD 161656), January 2015 to December 2021; Wells Fargo Advisors, LLC, February 2003 to November 2014.
Where is Richard Preston based?
Richard Preston’s registered office is in Aiken, SC.
Is Richard Preston registered with FINRA?
No. Richard Preston has no current broker registration.
How can I verify Richard Preston’s record?
Search CRD 1921622 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Richard Preston’s full registration record.