William Prentice has been Chief Compliance Officer / Managing Member of Prentice Wealth Management since January 2012, is a control person of the firm and directly owns 75% or more of it.
Prentice Wealth Management LLC is a Rochester, NY firm with $568M under management, 1,029 clients and 4 advisers across 3 offices, as of its May 2026 filing.
William Prentice’s longest registration was 17 years at Cadaret Grant & Co Inc (2008–2025). Before joining Prentice Wealth Management in 2021, William Prentice was registered through Cadaret Grant & Co Inc and Gunnallen Financial, Inc.
- LPL Financial LLC– · 1 yearFort Mill, SC · Adviser representative · Firm CRD 6413
- – present · 5 yearsRochester, NY · Adviser representative · Firm CRD 160052
- Cadaret Grant & Co Inc– · 17 yearsRochester, NY · Adviser representative · Firm CRD 10641
- Gunnallen Financial, Inc– · 2 yearsRochester, NY · Adviser representative · Firm CRD 17609
Investment adviser representative registrations
William Prentice is registered as an investment adviser representative in 2 states. Each was approved in April 2021.
- New YorkSince 30 April 2021
- TexasSince 30 April 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 4 June 2008 |
| Series 66 | Uniform Combined State Law Examination | 9 March 2005 |
| Series 7 | General Securities Representative Examination | 19 January 2005 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 14 September 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 31 August 1999 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- William James Prentice
- CRD
- 3212474
- Firm
- Prentice Wealth Management · CRD 160052
- Role
- Chief Compliance Officer / Managing Member
- Office
- 1150 PENFIELD RD., Rochester, NY 14625
- Registration
- Investment adviser and broker registrations
- In the industry since
- September 1999
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does William Prentice work?
William Prentice has been Chief Compliance Officer / Managing Member of Prentice Wealth Management LLC since January 2012, and is a control person of the firm.
Is William Prentice a financial advisor?
Yes. William Prentice has a current investment-adviser registration in New York and Texas, through Prentice Wealth Management since April 2021.
How many years of experience does William Prentice have?
William Prentice has 27 years in the financial industry, since September 1999, across 4 adviser firms.
What exams has William Prentice passed?
William Prentice has passed 5 licensing exams: the Series 63, Series 6, Series 7, Series 66 and Series 24. The earliest, the Series 63, was passed in August 1999. FINRA credited William Prentice with the SIE, which began in October 2018.
Where did William Prentice work before Prentice Wealth Management?
Before Prentice Wealth Management, William Prentice was registered through Gunnallen Financial, Inc, March 2005 to February 2008.
Where is William Prentice based?
William Prentice’s registered office is in Rochester, NY.
Is William Prentice registered with FINRA?
Yes. William Prentice has a current broker registration, under CRD 3212474.
Source: FINRA BrokerCheck
How can I verify William Prentice’s record?
Search CRD 3212474 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish William Prentice’s full registration record.