Christa K. Whitman

PREISZ FINANCIAL

Portland, OR 97239

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CRD#: 6135536

Professional summary

Christa Kay Whitman, who also goes by Christa Kay Whitman, is a registered financial advisor currently at PREISZ FINANCIAL located in Portland, Oregon and LPL FINANCIAL LLC located in Portland, Oregon.

Christa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Christa has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Christa Kay Whitman

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) 08/2024 - Preisz Financial / DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) 2) 06/2024 - NON-VARIABLE INSURANCE - TIME SPENT 1% - PORTLAND, OR.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christa Kay Whitman'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

January 27, 2025 - Present

PREISZ FINANCIAL

Office #1: 4525 Sw Condor Ave, Portland, OR 97239

RIA

CRD#: 144469

Portland, OR

Current

August 26, 2024 - Present

LPL FINANCIAL LLC

Office #1: 4525 Sw Condor Ave, Portland, OR 97239-4061

RIA

CRD#: 6413

Portland, OR

Past

October 17, 2024 - November 19, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

November 10, 2023 - July 19, 2024

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

BEAVERTON, OR

Past

March 15, 2023 - December 18, 2023

PARK AVENUE SECURITIES LLC

CRD#: 46173

PORTLAND, OR

Past

November 22, 2021 - January 9, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Lake Oswego, OR

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".

PREISZ FINANCIAL

PREISZ ASSOCIATES, INC. | PREISZ FINANCIAL

CRD#: 144469 / SEC#: 801-115031

RIA

Registered Investment Advisory firm - (4/18/2019 Approved)

Oregon

Registered Investment Advisory firm - (1/29/2020 Terminated)

Texas

Registered Investment Advisory firm - (1/29/2020 Terminated)

Washington

Registered Investment Advisory firm - (2/29/2020 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.

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

Oregon
(10/11/2024)

IAR

Oregon
(1/27/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/11/2024

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/22/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/16/2021

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

PREISZ FINANCIAL

PREISZ ASSOCIATES, INC. | PREISZ FINANCIAL

CRD#: 144469 / SEC#: 801-115031

RIA

Registered Investment Advisory firm - (4/18/2019 Approved)

Oregon

Registered Investment Advisory firm - (1/29/2020 Terminated)

Texas

Registered Investment Advisory firm - (1/29/2020 Terminated)

Washington

Registered Investment Advisory firm - (2/29/2020 Terminated)

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Contact information

Main Address

4525 Sw Condor Ave, Portland, OR 97239

Mailing Address

Phone number

(503) 224-1600

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

PREISZ FINANCIAL FIRM BROCHURE (10/9/2025)

PREISZ FINANCIAL WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	485
AUM (Assets Under Management)	$ 612,791,505

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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Advisor Monitoring

Firm Stability Insights

Christa K. Whitman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christa Kay Whitman's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

PARK AVENUE SECURITIES LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

PREISZ FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 10/11/2024

Series 7TO

Date: 11/22/2021

SIE

Date: 6/16/2021

FINRA

Current Firm

PREISZ FINANCIAL

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PREISZ FINANCIAL

TRUST BUT VERIFY

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