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William James Prentice

PRENTICE WEALTH MANAGEMENT LLC·ROCHESTER, New York
SIE, Series 6, Series 7, Series 24, Series 63, Series 66CFPClean record21 years registeredPRENTICE WEALTH MANAGEMENT LLC
1150 PENFIELD RD., ROCHESTER, NY 14625CRD# 3212474Firm CRD# 160052

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
William James Prentice · ROCHESTER, NY
Registration
CRD #3212474 · PRENTICE WEALTH MANAGEMENT LLC · 21 years registered
Brand Profile
Not yet started
01

Career History

LPL FINANCIAL LLC
Jul 2025 – present
PRENTICE WEALTH MANAGEMENT LLC
Apr 2021 – present
CADARET GRANT & CO INC
Feb 2008 – Jul 2025
ROCHESTER, NY
GUNNALLEN FINANCIAL, INC
Mar 2005 – Feb 2008
ROCHESTER, NY
02

Registrations & Exams

FINRA examinations passed
SIE
Series 6
Series 7
Series 24
Series 63
Series 66
Registration record
First registered · March 10, 2005
Years registered · 21
Professional designation · CFP
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
PRENTICE WEALTH MANAGEMENT LLC
CRD 160052 · SEC 801-76490
AUM
$393M
Regulatory assets under management
Employees
11
1,565 client accounts
Services offered by PRENTICE WEALTH MANAGEMENT LLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Selection of other advisers
Publication of periodicals/newsletters
Security ratings or pricing services
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at PRENTICE WEALTH MANAGEMENT LLC →
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05

Frequently Asked Questions

What services does William James Prentice offer?
William James Prentice specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in ROCHESTER, New York for a consultation.
What are William James Prentice's credentials?
William James Prentice holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.
Where is William James Prentice located?
William James Prentice is based in ROCHESTER, New York, working with PRENTICE WEALTH MANAGEMENT LLC. Their office serves clients in the ROCHESTER metropolitan area and surrounding communities.
How does William James Prentice charge for services?
William James Prentice's firm is compensated through percentage of aum, hourly charges, fixed fees, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is PRENTICE WEALTH MANAGEMENT LLC?
PRENTICE WEALTH MANAGEMENT LLC has approximately 11 employees and manages $393M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Shawn Stephen Tesoro
ROCHESTER, NY

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CFP

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