Preston C. Hart
KESTRA ADVISORY SERVICES | Principal and Chief Investment Officer at SHC Financial
Lake Oswego, OR 97035
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CRD#: 4465533
Professional summary
Preston Charles Hart is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Lake Oswego, Oregon and KESTRA INVESTMENT SERVICES, LLC located in Austin, Texas.
Preston is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Preston has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Biography
Preston Hart utilizes his 14 years of investment management experience in his striving to protect and grow his clients’ assets, so that they can focus on living the lifestyles they have worked for. Preston and his Team strive to provide their clients with a sense of financial freedom and comfort, knowing their assets are carefully monitored.
Preston is a partner at SHC Financial, a comprehensive wealth management firm. The team at SHC Financial is dedicated to serving their clients in helping them achieve their financial goals.
Preston’s time outside of serving his clients is spent enjoying his family, making music and reading.
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.
Business Name: SHC FINANCIAL, LLC POSITION: Partner, Owner 50% NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/11/2007 ADDRESS: 4800 Meadows Rd., Suite 300, Lake Oswego OR 97035 DESCRIPTION: SHC Financial ("SHC") derives its revenues solely from Kestra Registered Rep/Advisers contributions which are used tocover operating expenses such as rent, employee compensation, payroll taxes, investment research, computer services& equipment, employee training, telecommunication services & equipment, owner life insurance, software subscriptions,banking fees, internet & cable subscriptions, property insurance, marketing expenses, shipping & postage, officesupplies, and general business expenses. I oversee the payment of these expenses, file the required tax & payrollreports, maintain financial budgets, and keep the financial books of the organization. Business Name: PRESTON C. HART POSITION: Producing Agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2006 ADDRESS: 1921 Indian Trail, LAKE OSWEGO OR 97034 DESCRIPTION: My duties are as an agent for the various insurance companies that I am contracted with to offer their products to myfinancial planning clients. Business Name: KESTRA ADVISORY SERVICES POSITION: Registered Rep NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/17/2023 ADDRESS: 5707 SW Parkway, Bldg. 2, Ste. 400, Austin TX 78735 DESCRIPTION: Investment Management as fiduciary of client accounts Financial Planning
CRS (Client Relationship Summary) - RIA
Click below to view Preston Charles Hart'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®
NoneExperience
Current
October 24, 2023 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 4800 Meadows Road Suite 300, Lake Oswego, OR 97035RIA
CRD#: 283330
Lake Oswego, OR
Current
October 24, 2023 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735BD
CRD#: 42046
Austin, TX
Past
January 31, 2006 - October 27, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
LAKE OSWEGO, OR
Past
January 31, 2006 - October 27, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
LAKE OSWEGO, OR
Past
October 15, 2002 - February 1, 2006
OSAIC FA, INC.
RIA
CRD#: 3978
PORTLAND, OR
Past
July 11, 2002 - February 1, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
July 11, 2002 - February 1, 2006
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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(10/24/2023)
RR
California(10/24/2023)
RR
Florida(10/24/2023)
RR
Georgia(10/24/2023)
RR
Kansas(10/24/2023)
RR
Missouri(10/24/2023)
RR
Oregon(10/24/2023)
IAR
Oregon(10/31/2023)
RR
Texas(10/24/2023)
IAR
Texas(10/24/2023)
RR
Virginia(10/24/2023)
RR
Washington(10/24/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KESTRA ADVISORY SERVICES, LLC
Principal and Chief Investment Officer at SHC FinancialCRD#: 283330Lake Oswego, OR 97035TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
