Preston A. Lee

WEALTH MANAGEMENT CPAS

Salt Lake City, UT 84107

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CRD#: 5409842

Professional summary

Preston A Lee is a registered financial advisor currently at WEALTH MANAGEMENT CPAS, LLC located in Salt Lake City, Utah.

Preston is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Preston has worked at 8 firms and has passed the Series 66, Series 63, SIE 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.

*446871 (1) Herriman Rental; No; Herriman, UT; Real Estate; Owner; 07/2021; 1/MO; 1/MO; Property Management *14452 (1) Herriman Rental; No; Herriman, UT; Real Estate; Owner; 07/2023; 1/MO; 1/MO; Property Management *14548 (1) Herriman Rental; No; Herriman, UT; Real Estate; Owner; 08/2023; 1/MO; 1/MO; Property Management

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Preston A Lee'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

February 16, 2024 - Present

WEALTH MANAGEMENT CPAS, LLC

Office #1: 5296 Commerce Drive Suite 101, Salt Lake City, UT 84107

RIA

CRD#: 310096

Salt Lake City, UT

Past

January 11, 2023 - January 30, 2024

MORGAN STANLEY

RIA

CRD#: 149777

Sandy, UT

Past

January 11, 2023 - January 30, 2024

MORGAN STANLEY

CRD#: 149777

Sandy, UT

Past

March 17, 2016 - September 5, 2023

E*TRADE SECURITIES LLC

CRD#: 29106

SANDY, UT

Past

February 11, 2016 - September 5, 2023

HARRISDIRECT LLC

RIA

CRD#: 42159

Sandy, UT

Past

September 8, 2011 - February 10, 2016

TD AMERITRADE, INC.

CRD#: 7870

SALT LAKE CITY, UT

Past

September 7, 2011 - February 10, 2016

TD AMERITRADE, INC.

RIA

CRD#: 7870

SALT LAKE CITY, UT

Past

September 7, 2011 - February 10, 2016

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

SALT LAKE CITY, UT

Past

June 7, 2011 - September 2, 2011

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

AMERICAN FORK, UT

Past

November 12, 2007 - September 1, 2011

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

AMERICAN FORK, UT

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".

WEALTH MANAGEMENT CPAS, LLC

WEALTH MANAGEMENT CPAS | WEALTH MANAGEMENT LLC | WEALTH MANAGEMENT CPAS, LLC

CRD#: 310096 / SEC#: 801-123458

RIA

Registered Investment Advisory firm - (3/17/2022 Approved)

Texas

Registered Investment Advisory firm - (3/21/2022 Terminated)

Utah

Registered Investment Advisory firm - (3/21/2022 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

Texas
(2/16/2024)

IAR

Utah
(2/20/2024)

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 66

Date: 6/6/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/29/2007

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: 11/9/2007

General Securities Representative Examination

Current Firm

WEALTH MANAGEMENT CPAS, LLC

WEALTH MANAGEMENT CPAS | WEALTH MANAGEMENT LLC | WEALTH MANAGEMENT CPAS, LLC

CRD#: 310096 / SEC#: 801-123458

RIA

Registered Investment Advisory firm - (3/17/2022 Approved)

Texas

Registered Investment Advisory firm - (3/21/2022 Terminated)

Utah

Registered Investment Advisory firm - (3/21/2022 Terminated)

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Contact information

Main Address

5296 Commerce Drive Suite 101, Salt Lake City, UT 84107

Mailing Address

Phone number

(801) 272-4357

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV2A/2B - SEC (2/12/2025)

Regulatory assets under management

Total Number of Accounts	893
AUM (Assets Under Management)	$ 270,877,513

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

Preston A. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Preston A Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

E*TRADE SECURITIES LLC

HARRISDIRECT LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

WEALTH MANAGEMENT CPAS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/6/2011

Series 63

Date: 12/29/2007

SIE

Date: 10/1/2018

Series 7

Date: 11/9/2007

Current Firm

WEALTH MANAGEMENT CPAS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTH MANAGEMENT CPAS, LLC

TRUST BUT VERIFY

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