PRESTON WEALTH ADVISORS, LLC. of RESTON, VA is an SEC-registered investment adviser (CRD 165983). Regulatory assets under management: $286.0M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance, Other.
Clients served: Individuals, High net worth, Pensions, Investment cos.
| Name | Role | Location |
|---|---|---|
| Theodore James Doremus | CEO, CCO, MANAGING MEMBER | — |
| Gregory Dean Mattingly | CFO, MANAGING MEMBER | — |
| BERMAN NEIL ANDREW | SENIOR VICE PRESIDENT | — |
| DOREMUS THEODORE JAMES | CEO, CCO, MANAGING MEMBER; CEO, CCO, MANAGING PARTNER | — |
| MATTINGLY GREGORY DEAN | CFO, MANAGING MEMBER; CFO, PARTNER | — |
| BEINECKE ALLISON BAUM | COO | — |
| JABBOUR RENA AMAL | VICE PRESIDENT | — |
| Brazley Maria Gabriela | DIRECTOR OF OPERATIONS | — |
| HODGE LUCAS W | DIRECTOR OF OPERATIONS | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2016-09-21 | regulatory | VIOLATION OF 21 VAC 5-80-160A (19) OF THE COMMISSION'S RULES REGARDING INVESTMENT ADVISERS REQUIRING SUPERVISION OF EMPLOYEES AND INVESTMENT ADVISER REPRESENTATIVES. | Final | $8K |
| 2014-09-26 | regulatory | ENGAGING IN INVESTMENT ADVISORY BUSINESS WITHIN THE STATE OF FLORIDA WITHOUT REGISTRATION IN VIOLATION OF SECTION 517.12(4), FLORIDA STATUTES | Final | $6K |