Katherine Preston
GPS WEALTH STRATEGIES GROUP
Basalt, CO 81621
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CRD#: 6315544
Professional summary
Katherine Preston, who also goes by Katherine Preston, is a registered financial advisor currently at GPS WEALTH STRATEGIES GROUP, LLC located in Basalt, Colorado and LPL FINANCIAL LLC located in Basalt, Colorado.
Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Katherine has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katherine Preston
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- 03/22/2024 - Aspen Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related- At reported business location(s) - Start date: 3/15/2024 2- 05/02/2024 - Aspen�Wealth�Management - Registered Investment Advisor DBA - Advisor - Investment Related - At Reported Business Location(s) - Start Date 03/16/2024 - 80 Hours Per Month 3- 05/02/2024 - GPS Wealth Stategies Group, LLC - Registered Investment Advisor Hybrid - Advisor - Investment Related - At Reported Business Location(s) - Start Date 03/20/2024 - 80 Hours Per Month - I provide investment advisory services through GPS Wealth Stategies Group, LLC, an independent investment advisor firm. I started this business activity in 3/2024. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4- 07/08/2024 - Highland Capital Brokerage - Non-Variable Insurance - Producer - Investment Related - At Reported Business Location(s) - Start Date 07/03/2024 - 10 Hours Per Month/ During Trading 5- 07/17/2024 - Roaring Fork International Wealth Management LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 04/05/2024 - 40 Hours Per Month/ 20 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Katherine Preston'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
March 22, 2024 - Present
GPS WEALTH STRATEGIES GROUP, LLC
Office #1: 211 Midland Avenue #202, Basalt, CO 81621RIA
CRD#: 285507
Basalt, CO
Current
March 22, 2024 - Present
LPL FINANCIAL LLC
Office #1: 211 Midland Ave Suite 202, Basalt, CO 81621RIA
BD
CRD#: 6413
BASALT, CO
Past
September 2, 2014 - March 25, 2024
EDWARD JONES
RIA
CRD#: 250
BASALT, CO
Past
June 4, 2014 - March 25, 2024
EDWARD JONES
BD
CRD#: 250
BASALT, CO
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".
GW
GPS WEALTH STRATEGIES GROUP, LLC
ARROW WEALTH MANAGEMENT | WILL SAVAGE WEALTH MANAGEMENT | TRUE WEALTH ADVISORS, INC. | MOUNTAIN HIGH WEALTH MANAGEMENT | MONEY & MINDFULNESS | MIKEE OH, YOUR KEY TO RETIREMENT | JOEL D. ANDREWS, LLC. | GPS WEALTH STRATEGIES GROUP, LLC | GORE FINANCIAL MANAGEMENT, INC. | COLUMBINE WEALTH ADVISORS LLC | ASPEN WEALTH MANAGEMENT, INC.
CRD#: 285507 / SEC#: 801-108848
RIA
Registered Investment Advisory firm - (1/3/2017 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.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(3/22/2024)
RR
California(3/22/2024)
RR
Colorado(3/22/2024)
IAR
Colorado(3/22/2024)
RR
Florida(3/22/2024)
RR
Illinois(3/22/2024)
RR
Michigan(3/22/2024)
RR
Minnesota(4/3/2024)
RR
Nevada(3/22/2024)
RR
New York(5/7/2024)
RR
North Carolina(3/22/2024)
RR
Pennsylvania(3/22/2024)
RR
Texas(3/22/2024)
IAR
Texas(3/22/2024)
RR
Utah(3/22/2024)
RR
Washington(3/22/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GW
GPS WEALTH STRATEGIES GROUP, LLC
ARROW WEALTH MANAGEMENT | WILL SAVAGE WEALTH MANAGEMENT | TRUE WEALTH ADVISORS, INC. | MOUNTAIN HIGH WEALTH MANAGEMENT | MONEY & MINDFULNESS | MIKEE OH, YOUR KEY TO RETIREMENT | JOEL D. ANDREWS, LLC. | GPS WEALTH STRATEGIES GROUP, LLC | GORE FINANCIAL MANAGEMENT, INC. | COLUMBINE WEALTH ADVISORS LLC | ASPEN WEALTH MANAGEMENT, INC.
CRD#: 285507 / SEC#: 801-108848
RIA
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Contact information
Main Address
6484 South Quebec Street, Centennial, CO 80111
Mailing Address
Phone number
(720) 414-5412
Established
Firm type
Fiscal year end
# of Employees
48
SEC notice filing (37 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,385 |
| AUM (Assets Under Management) | $ 1,415,526,316 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
GPS WEALTH STRATEGIES GROUP, LLC
CRD#: 285507Basalt, CO 81621TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
