• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Preston James Goldwag
CRD#: 7424804
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 701 B ST
SAN DIEGO, CA 92101
Registration History
AprJulOct2022AprJulOct2023AprJulOct2024AprJulOct2025AprJulOct20262 FIRMS2023 - Present (1 year)IAPRESTON JAMES LLC (CRD# 316241)2022 - 2022 (<1 year)
License(s)

State Registrations

B
Arkansas 1/2/2024

B
Louisiana 1/2/2024

B
California 11/14/2024

B
New Mexico 1/2/2024

IA
California 11/14/2024

B
Oklahoma 1/2/2024

B
Colorado 1/2/2024

IA
Texas 10/9/2023

B
Florida 1/2/2024

B
Texas 12/4/2023

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
701 B ST, SAN DIEGO, CA 92101
Registered with this firm since 10/9/2023

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
701 B ST, SAN DIEGO, CA 92101
Registered with this firm since 10/30/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/22/2022 - 12/31/2022 PRESTON JAMES LLC (CRD#:316241) DALLAS, TX
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.