PB
Peter M. Baker
PRESTON WEALTH ADVISORS.
Reston, VA 20190
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CRD#: 5078132
PB
Professional summary
Peter Marshall Baker is a registered financial advisor currently at PRESTON WEALTH ADVISORS, LLC. located in Reston, Virginia.
Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Peter has worked at 3 firms and has passed the Series 66 and Series 7 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.
REAL ESTATE OWNERSHIP: SINGLE FAMILY, 5 HOMEWOOD LANE, WEST HARWICH,MA 02671, COMP:$1 TO $999.
BOARDS OF DIRECTORS: RURITANS OF LUCKETTS, NON-PROFIT COMMUNITY AID GROUP 5013C, COMP:$0, HRS:1-9.
CRS (Client Relationship Summary) - RIA
Click below to view Peter Marshall Baker'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 31, 2023 - Present
PRESTON WEALTH ADVISORS, LLC.
Office #1: 1886 Metro Center Drive Suite 620, Reston, VA 20190RIA
CRD#: 165983
Reston, VA
Past
July 22, 2014 - March 17, 2025
CATOCTIN WEALTH MANAGEMENT LLC
RIA
CRD#: 171749
LEESBURG, VA
Past
February 24, 2006 - July 18, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
LEESBURG, VA
Past
February 10, 2006 - July 18, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
LEESBURG, VA
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".
PW
PRESTON WEALTH ADVISORS, LLC.
PRESTON WEALTH ADVISORS LLC | PRESTON WEALTH ADVISORS, LLC. | PRESTON WEALTH ADVISORS, INC.
CRD#: 165983 / SEC#: 801-81195
RIA
Registered Investment Advisory firm - (4/13/2015 Approved)District of Columbia
Registered Investment Advisory firm - (4/13/2015 Terminated)Florida
Registered Investment Advisory firm - (4/13/2015 Terminated)Maryland
Registered Investment Advisory firm - (4/15/2015 Terminated)Michigan
Registered Investment Advisory firm - (5/6/2015 Terminated)Minnesota
Registered Investment Advisory firm - (4/13/2015 Terminated)North Carolina
Registered Investment Advisory firm - (4/13/2015 Terminated)Ohio
Registered Investment Advisory firm - (4/13/2015 Terminated)Virginia
Registered Investment Advisory firm - (4/13/2015 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.Highlighted states indicate IAR registrations
IAR
Virginia(10/31/2023)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
PW
PRESTON WEALTH ADVISORS, LLC.
PRESTON WEALTH ADVISORS LLC | PRESTON WEALTH ADVISORS, LLC. | PRESTON WEALTH ADVISORS, INC.
CRD#: 165983 / SEC#: 801-81195
RIA
Registered Investment Advisory firm - (4/13/2015 Approved)District of Columbia
Registered Investment Advisory firm - (4/13/2015 Terminated)Florida
Registered Investment Advisory firm - (4/13/2015 Terminated)Maryland
Registered Investment Advisory firm - (4/15/2015 Terminated)Michigan
Registered Investment Advisory firm - (5/6/2015 Terminated)Minnesota
Registered Investment Advisory firm - (4/13/2015 Terminated)North Carolina
Registered Investment Advisory firm - (4/13/2015 Terminated)Ohio
Registered Investment Advisory firm - (4/13/2015 Terminated)Virginia
Registered Investment Advisory firm - (4/13/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1886 Metro Center Drive Suite 620, Reston, VA 20190
Mailing Address
1886 Metro Center Drive Suite 620, Reston, VA 20190
Phone number
(703) 757-0419
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 381 |
| AUM (Assets Under Management) | $ 261,265,126 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/23/2024 | ||
| 08/22/2023 |
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.
