Penelope Kaufman has been an investment adviser representative at Prentiss Smith & Company since April 2007, and is not listed among the firm’s executive officers or direct owners.
Prentiss Smith & Company, Inc. is a Brattleboro, VT firm with $453M under management, 319 clients and 5 advisers across 2 offices, as of its June 2026 filing.
- – present · 19 yearsBrattleboro, VT · Adviser representative · Firm CRD 110928
Investment adviser representative registrations
Penelope Kaufman is registered as an investment adviser representative in 5 states. The first approvals date from April 2007; the most recent is Massachusetts, in August 2024.
- CaliforniaSince 20 December 2023
- MassachusettsSince 2 August 2024
- New HampshireSince 20 December 2023
- New YorkSince 20 December 2023
- VermontSince 19 April 2007
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 4 April 2007 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Penelope Jayne Kaufman
- CRD
- 1922598
- Firm
- Prentiss Smith & Company · CRD 110928
- Office
- 950 WESTERN AVENUE, Brattleboro, VT 05301
- Registration
- Investment adviser registration
- In the industry since
- April 2007
- Disciplinary history
- Not yet shown here · SEC record
Where does Penelope Kaufman work?
Penelope Kaufman is an investment adviser representative registered through Prentiss Smith & Company, Inc. since April 2007, and is not listed among the firm’s executive officers or direct owners.
Is Penelope Kaufman a financial advisor?
Yes. Penelope Kaufman has a current investment-adviser registration in California, Massachusetts, New Hampshire, New York and Vermont, through Prentiss Smith & Company since April 2007.
How many years of experience does Penelope Kaufman have?
Penelope Kaufman has 19 years in the financial industry, since April 2007, across 1 adviser firm.
What exams has Penelope Kaufman passed?
Penelope Kaufman passed the Series 65 in April 2007.
Where is Penelope Kaufman based?
Penelope Kaufman’s registered office is in Brattleboro, VT.
Is Penelope Kaufman registered with FINRA?
No. Penelope Kaufman has no current broker registration.
How can I verify Penelope Kaufman’s record?
Search CRD 1922598 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Penelope Kaufman’s full registration record.