SP
Steven G. Prestyly
COLONIAL RIVER WEALTH MANAGEMENT LLC
Midlothian, VA 23114
Some features on this profile are disabled
CRD#: 1674837
SP
Professional summary
Steven Gary Prestyly, ChFC®, CLU®, who also goes by Steven Garry Prestyly, is a registered financial advisor currently at COLONIAL RIVER WEALTH MANAGEMENT LLC located in Midlothian, Virginia and LPL FINANCIAL LLC located in Newport News, Virginia.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Steven has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven Garry Prestyly
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 09/03/2014: NEWTOWN TAX PREPARATION - INV REL - 5349 DISCOVERY PARK BLVD, WILLIAMSBURG, VA 23188 - TAX PREP/ACCOUNTING/CPA - START 08/28/2014 - 8 HR/MO 1 DURING SECS TRDG HRS - CERTIFIED TAX PREPARER
2. 03/11/2015 - NEWTOWN FINANCIAL GROUP, LLC - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - NEWTOWN FINANCIAL GROUP, LLC - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - TIME SPENT 150 HOURS PER MONTH - WILLIAMSBURG, VA
3. 03/23/2016 * NO BUSINESS NAME * Real Estate Rental * NOT INV REL * 5349 discovery Park blvd. * START 9/15/2005 * My wife and I are the owners: Rental Property at 281 Raven Terrace, Williamsburg VA, 23188 * 1 HR/MO.
4. 12/14/2017 - Colonial River Wealth Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 12/11/2017 - 160 Hours Per Month/8 Hours During Securities Trading.
5. 12/18/2017 - Colonial River Investments, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Started 11/29/2017 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Colonial River Investments, LLC, an independent investment advisor firm. I started this business activity on 12/18/2017. I expect to spend approximately 160 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Gary Prestyly's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
November 29, 2017 - Present
COLONIAL RIVER WEALTH MANAGEMENT LLC
Office #1: 340 Browns Hill Court, Midlothian, VA 23114RIA
CRD#: 284839
Midlothian, VA
Current
December 20, 2002 - Present
LPL FINANCIAL LLC
Office #1: 2110 William Styron Sq S, Newport News, VA 23606RIA
BD
CRD#: 6413
Newport News, VA
Past
October 15, 2015 - January 22, 2018
THE MAIN STREET GROUP
RIA
CRD#: 175502
GLEN ALLEN, VA
Past
July 21, 2005 - November 13, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
December 13, 2002 - January 13, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
VALLEY STREAM, NY
Past
December 13, 2002 - January 13, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
March 27, 2001 - January 8, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
July 1, 1999 - March 26, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
May 31, 1995 - July 14, 1999
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
May 31, 1995 - July 14, 1999
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
September 28, 1994 - April 4, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
September 28, 1994 - April 4, 1995
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
April 21, 1988 - April 23, 1990
GARBAN CAPITAL MARKETS LLC
BD
CRD#: 19738
JERSEY CITY, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CR
COLONIAL RIVER WEALTH MANAGEMENT LLC
BURLESON FINANCIAL STRATEGIES, INC. | MOUNTAIN PEAK WEALTH ADVISORS LLC | LIONS BRIDGE FINANCIAL ADVISORS | COLONIAL RIVER WEALTH MANAGEMENT, LLC | COLONIAL RIVER WEALTH MANAGEMENT LLC | COLONIAL RIVER INVESTMENTS, LLC | COLONIAL RIVER
CRD#: 284839 / SEC#: 801-113243
RIA
Registered Investment Advisory firm - (5/14/2018 Approved)Virginia
Registered Investment Advisory firm - (8/29/2018 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(11/23/2010)
RR
Delaware(1/16/2015)
RR
Florida(9/27/2023)
RR
Louisiana(12/20/2002)
RR
Massachusetts(1/10/2012)
RR
Nebraska(8/26/2015)
RR
New York(12/20/2002)
RR
North Carolina(5/19/2015)
RR
Virginia(5/25/2004)
IAR
Virginia(11/29/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CR
COLONIAL RIVER WEALTH MANAGEMENT LLC
BURLESON FINANCIAL STRATEGIES, INC. | MOUNTAIN PEAK WEALTH ADVISORS LLC | LIONS BRIDGE FINANCIAL ADVISORS | COLONIAL RIVER WEALTH MANAGEMENT, LLC | COLONIAL RIVER WEALTH MANAGEMENT LLC | COLONIAL RIVER INVESTMENTS, LLC | COLONIAL RIVER
CRD#: 284839 / SEC#: 801-113243
RIA
Registered Investment Advisory firm - (5/14/2018 Approved)Virginia
Registered Investment Advisory firm - (8/29/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
340 Browns Hill Court, Midlothian, VA 23114
Mailing Address
Phone number
(804) 335-1200
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,524 |
| AUM (Assets Under Management) | $ 339,836,345 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
COLONIAL RIVER WEALTH MANAGEMENT LLC
CRD#: 284839Midlothian, VA 23114TRUST BUT VERIFY
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