William James Prentice Ii
CFP®, CIMA®Professional Summary
William James Prentice II, CFP®, CIMA®, who also goes by Bill Prentice II, is a registered financial advisor currently at PRENTICE WEALTH MANAGEMENT LLC located in Rochester, New York and LPL FINANCIAL LLC located in Rochester, New York. William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. William has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Bill Prentice Ii
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Credentials
Years of Experience
27 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
KNIGHTBRIDGE CAPITAL | WERTH WEALTH PLANNING, LLC | PRENTICE WEALTH MANAGEMENT LLC
Contact Information
Main Address
1150 Penfield Rd., Rochester, NY 14625Phone Number
(585) 218-0001# of Employees
14SEC notice filing (12 States and Territories)
Registered to provide investment advisory services in 12 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,034AUM (Assets Under Management)
$567,504,623Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
KNIGHTBRIDGE CAPITAL | WERTH WEALTH PLANNING, LLC | PRENTICE WEALTH MANAGEMENT LLC
State Registrations and Notice Filings
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Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1999About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view William James Prentice II's CRS (Customer Relationship Summary).
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