Prentiss Smith has been President/Director/Owner of Prentiss Smith & Company since August 2005, is a control person of the firm and directly owns between 10% and 25% of it.
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 · 14 yearsPhiladelphia, PA · Adviser representative · Firm CRD 110928
Investment adviser representative registrations
Prentiss Smith is registered as an investment adviser representative in 9 states, as a resident of Texas. The first approvals date from October 2012; the most recent is Massachusetts, in August 2024.
- ConnecticutSince 15 October 2012
- IllinoisSince 18 December 2023
- MassachusettsSince 2 August 2024
- New HampshireSince 13 December 2023
- New YorkSince 14 December 2023
- OhioSince 2 January 2024
- PennsylvaniaSince 14 December 2023
- TexasResidentSince 7 November 2012
- VermontSince 13 December 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 13 August 2003 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Prentiss Richardson Smith
- CRD
- 5033193
- Firm
- Prentiss Smith & Company · CRD 110928
- Role
- President/Director/Owner
- Office
- 221 W. Allens Lane, Philadelphia, PA 19119
- Registration
- Investment adviser registration
- In the industry since
- October 2012
- Disciplinary history
- Not yet shown here · SEC record
Where does Prentiss Smith work?
Prentiss Smith has been President/Director/Owner of Prentiss Smith & Company, Inc. since August 2005, and is a control person of the firm.
Is Prentiss Smith a financial advisor?
Yes. Prentiss Smith has a current investment-adviser registration in Connecticut, Illinois, Massachusetts, New Hampshire, New York, Ohio, Pennsylvania, Texas and Vermont, through Prentiss Smith & Company since October 2012.
How many years of experience does Prentiss Smith have?
Prentiss Smith has 14 years in the financial industry, since October 2012, across 1 adviser firm.
What exams has Prentiss Smith passed?
Prentiss Smith passed the Series 65 in August 2003.
Where is Prentiss Smith based?
Prentiss Smith’s registered office is in Philadelphia, PA.
Is Prentiss Smith registered with FINRA?
No. Prentiss Smith has no current broker registration.
How can I verify Prentiss Smith’s record?
Search CRD 5033193 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Prentiss Smith’s full registration record.