Preston B. Smith

MARINER WEALTH

Overland Park, KS 66211

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CRD#: 6190640

Professional summary

Preston Blair Smith, who also goes by Preston Smith, is a registered financial advisor currently at MARINER WEALTH located in Overland Park, Kansas.

Preston is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Preston has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Preston Smith

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Preston Blair Smith'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®

None

Experience

Current

June 27, 2025 - Present

MARINER WEALTH

Office #1: 5700 W 112th Street Suite 500, Overland Park, KS 66211

RIA

CRD#: 289886

Overland Park, KS

Past

February 2, 2022 - June 20, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Tulsa, OK

Past

February 2, 2022 - June 20, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Tulsa, OK

Past

November 19, 2013 - February 24, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Shreveport, LA

Past

November 19, 2013 - February 24, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Shreveport, LA

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".

MARINER WEALTH

MARINER | MARINER WEALTH ADVISORS-IC, LLC | MARINER WEALTH ADVISORS | MARINER WEALTH | MARINER INSTITUTIONAL

CRD#: 289886 / SEC#: 801-111823

RIA

Registered Investment Advisory firm - (10/6/2017 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.

Highlighted states indicate IAR registrations

IAR

Kansas
(6/27/2025)

IAR

Oklahoma
(6/27/2025)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/18/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/19/2013

General Securities Representative Examination

Current Firm

MARINER WEALTH

MARINER | MARINER WEALTH ADVISORS-IC, LLC | MARINER WEALTH ADVISORS | MARINER WEALTH | MARINER INSTITUTIONAL

CRD#: 289886 / SEC#: 801-111823

RIA

Registered Investment Advisory firm - (10/6/2017 Approved)

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Contact information

Main Address

5700 W. 112th St Suite 500, Overland Park, KS 66211

Mailing Address

Phone number

(913) 904-5700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

MWA-IC FORM ADV PART 2A (3/28/2025)

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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Preston B. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Preston Blair Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

MARINER WEALTH

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

MARINER WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 11/18/2013

SIE

Date: 10/1/2018

Series 7

Date: 11/19/2013

Current Firm

MARINER WEALTH

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

MARINER WEALTH

TRUST BUT VERIFY

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