Preston SchumacherCRD Number: 4594199
Current Firm: Lucia Capital Group
Preston Schumacher (CRD# 4594199) is an Investment Advisor Representative working at Lucia Capital Group in San Diego, CA and has over 12 years of experience in the finance industry. Preston Schumacher has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Park Avenue Securities LLC
Nautilus Advisors LLC
O'reilly Wealth Advisors
|Lucia Securities, LLC||San Diego, CA||Sep 2011 - Current||6|
|Rjl Wealth Management, LLC||San Diego, CA||Apr 2010 - Current||7|
|First Allied Securities, Inc.||San Diego, CA||Nov 2007 - Nov 2011||4|
|Raymond J. Lucia Companies, Inc.||San Diego, CA||Dec 2006 - Oct 2010||3|
|Securities America, Inc.||Lake Oswego, OR||Jan 2005 - Nov 2007||2|
|Raymond J Lucia Co Inc.||San Diego, CA||Aug 2001 - Nov 2006||5|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Jan 2006|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management499MILLIONS
Total Number of Accounts3,719ACCOUNTS
Average Account Value$134,057
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV
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