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Investment Adviser Firm Summary

PRESTON WEALTH ADVISORS, LLC. (CRD# 165983 / SEC# 801-81195)
Alternate Names: PRESTON WEALTH ADVISORS LLC , PRESTON WEALTH ADVISORS, INC. , PRESTON WEALTH ADVISORS, LLC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/13/2015
District of Columbia Terminated 04/13/2015
Florida Terminated 04/13/2015
Maryland Terminated 04/15/2015
Michigan Terminated 05/06/2015
Minnesota Terminated 04/13/2015
North Carolina Terminated 04/13/2015
Ohio Terminated 04/13/2015
Virginia Terminated 04/13/2015

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Arizona 07/20/2015
California 04/13/2015
District of Columbia 04/13/2015
Florida 04/13/2015
Illinois 05/12/2015
Kansas 12/26/2017
Louisiana 09/02/2016
Maryland 04/13/2015
Michigan 04/13/2015
Missouri 12/22/2016
New York 09/30/2015
North Carolina 04/13/2015
Ohio 04/13/2015
Pennsylvania 07/20/2015
South Carolina 07/20/2015
Texas 04/13/2015
Virginia 04/13/2015
Wisconsin 03/06/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser