Scott Preston has been Managing Member/ Chief Compliance Officer of Preston Advisory Services since August 2017, is a control person of the firm and directly owns 75% or more of it.
Preston Advisory Services LLC is a Kingman, AZ firm with $198M under management, 2,528 clients and 4 advisers in one office, as of its May 2026 filing.
Scott Preston’s longest registration was 12 years at Cetera Advisors LLC (2006–2018). Before joining Preston Advisory Services in 2017, Scott Preston was registered through Cetera Advisors LLC.
- Preston InvestmentsCurrent– present · 9 yearsKingman, AZ · Adviser representative · Firm CRD 289926
- Cetera Advisors LLC– · 12 yearsKingman, AZ · Adviser representative · Firm CRD 10299
Investment adviser representative registrations
Scott Preston is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from October 2017; the most recent is Texas, in April 2019.
- ArizonaSince 5 October 2017
- TexasResidentSince 24 April 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 13 May 2006 |
| Series 24 | General Securities Principal Examination | 17 November 2003 |
| Series 7 | General Securities Representative Examination | 26 November 2002 |
| Series 63 | Uniform Securities Agent State Law Examination | 1 March 1999 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 6 February 1999 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Scott David Preston
- CRD
- 3178664
- Firm
- Preston Advisory Services · CRD 289926
- Role
- Managing Member/ Chief Compliance Officer
- Office
- 4345 STOCKTON HILL RD, Kingman, AZ 86409
- Registration
- Investment adviser registration
- In the industry since
- February 1999
- Disciplinary history
- Not yet shown here · SEC record
Where does Scott Preston work?
Scott Preston has been Managing Member/ Chief Compliance Officer of Preston Advisory Services LLC since August 2017, and is a control person of the firm.
Is Scott Preston a financial advisor?
Yes. Scott Preston has a current investment-adviser registration in Arizona and Texas, through Preston Advisory Services since October 2017.
How many years of experience does Scott Preston have?
Scott Preston has 27 years in the financial industry, since February 1999, across 2 adviser firms.
What exams has Scott Preston passed?
Scott Preston has passed 5 licensing exams: the Series 6, Series 63, Series 7, Series 24 and Series 65. The earliest, the Series 6, was passed in February 1999. FINRA credited Scott Preston with the SIE, which began in October 2018.
Where is Scott Preston based?
Scott Preston’s registered office is in Kingman, AZ.
Is Scott Preston registered with FINRA?
No. Scott Preston has no current broker registration.
How can I verify Scott Preston’s record?
Search CRD 3178664 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Scott Preston’s full registration record.