Preston S. Caves
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Preston Stilson Caves was a registered financial professional .
Preston is a previously registered financial professional and started their career in finance in 1985. Preston had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2018 - September 16, 2019
EP WEALTH ADVISORS
September 5, 2018 - September 7, 2018
CAVES & ASSOCIATES
July 10, 1995 - December 31, 1998
SPECTRUM SECURITIES, INC.
November 19, 1989 - July 19, 1995
OSAIC WEALTH, INC.
August 31, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 12, 1985 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
March 19, 1985 - July 2, 1985
FEDERATION FOR FINANCIAL INDEPENDENCE
Primary Firm SEC Registration
EP WEALTH ADVISORS
CRD#: 111147 / SEC#: 801-29358
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EP WEALTH ADVISORS
CRD#: 111147 / SEC#: 801-29358
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 49,167 |
| AUM (Assets Under Management) | $ 35,570,000,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
