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Prentiss Richardson Smith

Prentiss Smith & Company, Inc.

Brattleboro, VT

Philadelphia, PA

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Current Employers
Prentiss Smith & Company, Inc.

950 Western Avenue, Brattleboro, VT 05301 • United States

Current Registrations

AuthorityCategoryStatusDate
VT RA APPROVED 2025-01-01
MA RA APPROVED 2024-08-02
OH RA APPROVED 2024-01-02
IL RA APPROVED 2023-12-18
NY RA APPROVED 2023-12-14
PA RA APPROVED 2023-12-14
NH RA APPROVED 2023-12-13
TX RA APPROVED_RES 2012-11-07
CT RA APPROVED 2012-10-15
  • VT RA
    APPROVED
    Since 2025-01-01
  • MA RA
    APPROVED
    Since 2024-08-02
  • OH RA
    APPROVED
    Since 2024-01-02
  • IL RA
    APPROVED
    Since 2023-12-18
  • NY RA
    APPROVED
    Since 2023-12-14
  • PA RA
    APPROVED
    Since 2023-12-14
  • NH RA
    APPROVED
    Since 2023-12-13
  • TX RA
    APPROVED_RES
    Since 2012-11-07
  • CT RA
    APPROVED
    Since 2012-10-15

Branch Locations

950 Western Avenue, Brattleboro, VT 05301 • United States

221 W. Allens Lane, Philadelphia, PA 19119 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Prentiss Smith & Company Brattleboro VT 06/2002 Present
  • 06/2002 → Present
    Prentiss Smith & Company
    Brattleboro, VT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-08-13
  • S65 Uniform Investment Adviser Law Examination
    2003-08-13

View on SEC IAPD

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