Scott D. Preston

PRESTON INVESTMENTS

Kingman, AZ 86409

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CRD#: 3178664

Professional summary

Scott David Preston is a registered financial advisor currently at PRESTON INVESTMENTS located in Kingman, Arizona.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Scott has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. PRESTON INVESTMENTS, 4345 STACKTON HELL RD, KINGMAN, AZ 86409, START 01/01/98, ESTATE PLANNING/FIXED INSURANCE, 50% OWNER, 1-2HR/WK.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott David Preston's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 5, 2017 - Present

PRESTON INVESTMENTS

Office #1: 4345 Stockton Hill Rd, Kingman, AZ 86409

RIA

CRD#: 289926

Kingman, AZ

Past

October 5, 2017 - December 31, 2017

PRESTON INVESTMENTS

RIA

CRD#: 289926

KINGMAN, AZ

Past

May 15, 2006 - October 31, 2018

CETERA ADVISORS LLC

RIA

CRD#: 10299

KINGMAN, AZ

Past

February 16, 1999 - October 31, 2018

CETERA ADVISORS LLC

CRD#: 10299

KINGMAN, AZ

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".

PRESTON INVESTMENTS

PRESTON ADVISORY SERVICES LLC | PRESTON INVESTMENTS | PRESTON ADVISORY SERVICES, LLC

CRD#: 289926 / SEC#: 801-132449

RIA

Registered Investment Advisory firm - (4/22/2025 Approved)

Arizona

Registered Investment Advisory firm - (5/1/2025 Terminated)

Texas

Registered Investment Advisory firm - (5/1/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Arizona
(10/5/2017)

IAR

Texas
(4/24/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/13/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/1/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/26/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/6/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/17/2003

General Securities Principal Examination

Current Firm

PRESTON INVESTMENTS

PRESTON ADVISORY SERVICES LLC | PRESTON INVESTMENTS | PRESTON ADVISORY SERVICES, LLC

CRD#: 289926 / SEC#: 801-132449

RIA

Registered Investment Advisory firm - (4/22/2025 Approved)

Arizona

Registered Investment Advisory firm - (5/1/2025 Terminated)

Texas

Registered Investment Advisory firm - (5/1/2025 Terminated)

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Contact information

Main Address

4345 Stockton Hill Rd, Kingman, AZ 86409

Mailing Address

Phone number

(928) 757-1600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PRESTON ADVISORY SERVICES LLC PART 2 DISCLOSURE BROCHURE (5/1/2025)

Regulatory assets under management

Total Number of Accounts	2,142
AUM (Assets Under Management)	$ 146,291,985

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.

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Firm Stability Insights

Scott D. Preston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott David Preston's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRESTON INVESTMENTS

CETERA ADVISORS LLC

CETERA ADVISORS LLC

Primary Firm SEC Registration

PRESTON INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 5/13/2006

Series 63

Date: 3/1/1999

SIE

Date: 10/1/2018

Series 7

Date: 11/26/2002

Series 6

Date: 2/6/1999

Series 24

Date: 11/17/2003

Current Firm

PRESTON INVESTMENTS

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PRESTON INVESTMENTS

TRUST BUT VERIFY

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