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Prentiss Richardson Smith

PRENTISS SMITH & COMPANY, INC.·BRATTLEBORO, Vermont
Series 65Clean record13 years registeredPRENTISS SMITH & COMPANY, INC.
950 WESTERN AVENUE, BRATTLEBORO, VT 05301CRD# 5033193Firm CRD# 110928

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Prentiss Richardson Smith · BRATTLEBORO, VT
Registration
CRD #5033193 · PRENTISS SMITH & COMPANY, INC. · 13 years registered
Brand Profile
Not yet started
01

Career History

PRENTISS SMITH & COMPANY, INC.
Oct 2012 – present
02

Registrations & Exams

FINRA examinations passed
Series 65
Registration record
First registered · October 15, 2012
Years registered · 13
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
PRENTISS SMITH & COMPANY, INC.
CRD 110928 · SEC 801-17579
AUM
$439M
Regulatory assets under management
Employees
9
655 client accounts
Services offered by PRENTISS SMITH & COMPANY, INC.
Per Form ADV
Portfolio management (individuals)
Selection of other advisers
Market timing services
Other
Client types served by the firm
Per Form ADV
Individuals
View all advisors at PRENTISS SMITH & COMPANY, INC. →
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05

Frequently Asked Questions

What services does Prentiss Richardson Smith offer?
Prentiss Richardson Smith specializes in Investment Management, Wealth Management. Contact their office in BRATTLEBORO, Vermont for a consultation.
What are Prentiss Richardson Smith's credentials?
Prentiss Richardson Smith is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Prentiss Richardson Smith located?
Prentiss Richardson Smith is based in BRATTLEBORO, Vermont, working with PRENTISS SMITH & COMPANY, INC.. Their office serves clients in the BRATTLEBORO metropolitan area and surrounding communities.
How does Prentiss Richardson Smith charge for services?
Prentiss Richardson Smith's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is PRENTISS SMITH & COMPANY, INC.?
PRENTISS SMITH & COMPANY, INC. has approximately 9 employees and manages $439M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at PRENTISS SMITH & COMPANY, INC.

Prentiss Charles Smith
BRATTLEBORO, VT

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