PW
Preston D. Watts
U.S. BANCORP INVESTMENTS | Financial Consultant
Hood River, OR 97031
Some features on this profile are disabled
CRD#: 2642212
PW
Professional summary
Preston David Watts, who also goes by Preston D Watts, Preston Watts, is a registered financial advisor currently at U.S. BANCORP INVESTMENTS, INC. located in Hood River, Oregon.
Preston is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Preston has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Biography
As a Financial Consultant, my goal is to assist clients in creating a better financial future. I have been helping individuals with financial planning and wealth management needs for more than twenty five years. In true partnership fashion, I will collaborate with you to create a personal financial plan defined by your goals and provide guidance that is clear, relevant and actionable.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Preston D Watts | Preston Watts
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.
Happy Trails Ministry; Not investment-related; Bend, OR; Clergy services; Minister, business owner; 5/2025; 5 hours/month; 0 hours/trading; Perform wedding services.
CRS (Client Relationship Summary) - RIA
Click below to view Preston David Watts's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Preston David Watts'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®
NoneEducation
University of Utah
Bachelor of Arts (BA) - Film Studies
1995
Experience
Current
December 4, 2023 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 1309 12th St, Hood River, OR 97031Office #2: 401 Washington, The Dalles, OR 97058Office #3: 175 Se Reed Market Rd, Bend, OR 97702Office #4: 1025 Nw Bond St, Bend, OR 97703RIA
BD
CRD#: 17868
Hood River, OR
Current
December 4, 2023 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 1309 12th St, Hood River, OR 97031Office #2: 401 Washington, The Dalles, OR 97058Office #3: 175 Se Reed Market Rd, Bend, OR 97702Office #4: 1025 Nw Bond St, Bend, OR 97703RIA
BD
CRD#: 17868
Hood River, OR
Past
June 20, 2023 - December 15, 2023
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Eugene, OR
Past
June 5, 2023 - December 15, 2023
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Eugene, OR
Past
April 25, 2022 - May 9, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
TIGARD, OR
Past
April 13, 2022 - May 8, 2023
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
TIGARD, OR
Past
September 9, 2019 - March 16, 2022
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
Tualatin, OR
Past
September 9, 2019 - March 16, 2022
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Tualatin, OR
Past
September 14, 2015 - September 11, 2019
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Portland, OR
Past
August 27, 2015 - September 11, 2019
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Portland, OR
Past
July 31, 2012 - August 12, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
PORTLAND, OR
Past
November 30, 2009 - June 26, 2012
TRANSAMERICA INVESTORS SECURITIES, LLC
BD
CRD#: 32205
HARRISON, NY
Past
June 26, 2008 - November 19, 2009
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
January 1, 2008 - June 5, 2008
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SALT LAKE CITY, UT
Past
December 14, 2006 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SALT LAKE CITY, UT
Past
February 27, 2006 - November 9, 2006
SECU BROKERAGE SERVICES
BD
CRD#: 19899
COTTONWOOD HEIGHTS, UT
Past
September 14, 2005 - February 17, 2006
GLOBAL ATLANTIC DISTRIBUTORS, LLC
BD
CRD#: 8326
HARTFORD, CT
Past
October 16, 2001 - May 23, 2005
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
June 19, 1996 - October 16, 2001
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
October 6, 1995 - January 1, 1996
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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".
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
Arizona(12/6/2023)
RR
California(12/6/2023)
RR
Oregon(12/4/2023)
IAR
Oregon(12/4/2023)
RR
Texas(3/15/2024)
IAR
Texas(3/15/2024)
RR
Washington(12/6/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Mailing Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Phone number
(800) 888-4700
Established
Delaware since 02/25/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
2,152
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | PARENT CORPORATION | |
| AHMAD, MASOOD | SENIOR VICE PRESIDENT, OPERATIONS MANAGER | 7887624 |
| BEJASA, EILEEN | DIRECTOR | 7002808 |
| CLARK, SHANNON KEITH | DIRECTOR AND CHIEF FINANCIAL OFFICER | 5829700 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4120145 |
| FLOUM, JOEL IRA | DIRECTOR | 2405754 |
| LAWLOR, BETH D | DIRECTOR | 5352662 |
| MCCARTHY, MATTHEW RYAN | CHIEF LEGAL OFFICER | 6818984 |
| MOLLOY, JOHN WILLIAM JR. | DIRECTOR | 1939358 |
| ROLLAND, JODI THOMPSON | DIRECTOR | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER, DIRECTOR | 5025315 |
| STEGEMEYER, STEPHEN KYLE | DIRECTOR | 2793064 |
| STEINER, STEPHEN WARD | CHIEF OPERATING OFFICER, SENIOR VICE PRESIDENT AND DIRECTOR | 2259345 |
| WHANG, JAMES | DIRECTOR | 2737019 |
Regulatory assets under management
| Total Number of Accounts | 66,996 |
| AUM (Assets Under Management) | $ 19,296,734,956 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2024 | ||
| 11/21/2023 |
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.
Company Information
U.S. BANCORP INVESTMENTS, INC.
Financial ConsultantCRD#: 17868Hood River, OR 97031TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
