Prentiss Smith has been Director/Treasurer/Owner of Prentiss Smith & Company since September 1982, 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 · 31 yearsBrattleboro, VT · Adviser representative · Firm CRD 110928
Investment adviser representative registrations
Prentiss Smith is registered as an investment adviser representative in 5 states, as a resident of Texas. The first approvals date from November 1994; the most recent is New Hampshire, in April 2006.
- ConnecticutSince 24 April 2006
- MassachusettsSince 24 April 2006
- New HampshireSince 27 April 2006
- TexasResidentSince 24 April 2006
- VermontSince 14 November 1994
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 21 September 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 11 April 1994 |
| Series 2 | Non-Member General Securities Examination | 11 April 1994 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Non-Member General Securities Examination
- Full name
- Prentiss Charles Smith
- CRD
- 867702
- Firm
- Prentiss Smith & Company · CRD 110928
- Role
- Director/Treasurer/Owner
- Office
- 950 WESTERN AVENUE, Brattleboro, VT 05301
- Registration
- Investment adviser registration
- In the industry since
- November 1994
- Disciplinary history
- Not yet shown here · SEC record
Where does Prentiss Smith work?
Prentiss Smith has been Director/Treasurer/Owner of Prentiss Smith & Company, Inc. since September 1982, 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, Massachusetts, New Hampshire, Texas and Vermont, through Prentiss Smith & Company since November 1994.
How many years of experience does Prentiss Smith have?
Prentiss Smith has 31 years in the financial industry, since November 1994, across 1 adviser firm.
What exams has Prentiss Smith passed?
Prentiss Smith has passed 3 licensing exams: the Series 63, Series 2 and Series 65. The earliest, the Series 63, was passed in April 1994.
Where is Prentiss Smith based?
Prentiss Smith’s registered office is in Brattleboro, VT.
Is Prentiss Smith registered with FINRA?
No. Prentiss Smith has no current broker registration.
How can I verify Prentiss Smith’s record?
Search CRD 867702 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Prentiss Smith’s full registration record.