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William James Prentice II

William J. Prentice

PRENTICE WEALTH MANAGEMENT
ROCHESTER, NY 14625
Some features on this profile are disabled
CRD#: 3212474
William James Prentice II
William James Prentice IIPRENTICE WEALTH MANAGEMENT

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 7, Series 6 and Series 24 exams.

Aliases

Bill Prentice Ii

Other business activities

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William James Prentice II's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2011

CIMA®

Certified Investment Management Analyst

Experience

Current

April 30, 2021 - Present

PRENTICE WEALTH MANAGEMENT LLC

Office #1: 1150 Penfield Rd., Rochester, NY 14625
RIA
CRD#: 160052
ROCHESTER, NY
Current

July 10, 2025 - Present

LPL FINANCIAL LLC

Office #1: 1150 Penfield Road, Rochester, NY 14625
RIA
BD
CRD#: 6413
ROCHESTER, NY
Past

July 10, 2025 - July 13, 2026

LPL FINANCIAL LLC

RIA
CRD#: 6413
FORT MILL, SC
Past

February 4, 2008 - July 10, 2025

CADARET, GRANT & CO., INC.

RIA
CRD#: 10641
ROCHESTER, NY
Past

February 4, 2008 - July 10, 2025

CADARET, GRANT & CO., INC.

BD
CRD#: 10641
ROCHESTER, NY
Past

March 10, 2005 - February 8, 2008

GUNNALLEN FINANCIAL, INC

RIA
CRD#: 17609
ROCHESTER, NY
Past

February 24, 2005 - February 8, 2008

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
ROCHESTER, NY
Past

September 15, 1999 - January 1, 2002

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

September 15, 1999 - February 28, 2005

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PW
PRENTICE WEALTH MANAGEMENT LLC
KNIGHTBRIDGE CAPITAL | WERTH WEALTH PLANNING, LLC | PRENTICE WEALTH MANAGEMENT LLC

CRD#: 160052 / SEC#: 801-76490

RIA
Registered Investment Advisory firm - (4/24/2012 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alaska
(7/10/2025)
RR
Arizona
(7/10/2025)
RR
Arkansas
(7/10/2025)
RR
California
(7/10/2025)
RR
Colorado
(7/10/2025)
RR
Connecticut
(7/10/2025)
RR
Florida
(7/10/2025)
RR
Georgia
(7/10/2025)
RR
Hawaii
(7/10/2025)
RR
Illinois
(5/5/2026)
RR
Indiana
(7/10/2025)
RR
Louisiana
(7/10/2025)
RR
Maine
(7/10/2025)
RR
Maryland
(7/10/2025)
RR
Massachusetts
(7/10/2025)
RR
Michigan
(7/10/2025)
RR
Mississippi
(7/10/2025)
RR
Missouri
(7/10/2025)
RR
Nevada
(7/10/2025)
RR
New Hampshire
(7/10/2025)
RR
New Jersey
(7/10/2025)
RR
New Mexico
(7/10/2025)
IAR
New York
(4/30/2021)
RR
New York
(7/10/2025)
RR
North Carolina
(7/10/2025)
RR
Ohio
(7/10/2025)
RR
Oregon
(7/10/2025)
RR
Pennsylvania
(7/10/2025)
RR
Rhode Island
(7/10/2025)
RR
South Carolina
(7/10/2025)
RR
Tennessee
(7/10/2025)
IAR
Texas
(4/30/2021)
RR
Texas
(7/10/2025)
RR
Utah
(7/10/2025)
RR
Vermont
(7/10/2025)
RR
Virginia
(7/10/2025)
RR
Wisconsin
(7/10/2025)
RR
Wyoming
(7/10/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/9/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/31/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/19/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/14/1999
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/4/2008
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PW
PRENTICE WEALTH MANAGEMENT LLC
KNIGHTBRIDGE CAPITAL | WERTH WEALTH PLANNING, LLC | PRENTICE WEALTH MANAGEMENT LLC

CRD#: 160052 / SEC#: 801-76490

RIA
Registered Investment Advisory firm - (4/24/2012 Approved)
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Contact information

Main Address
1150 Penfield Rd., Rochester, NY 14625
Mailing Address
Phone number
(585) 218-0001
Established
Firm type
Fiscal year end
# of Employees
14

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A: FIRM BROCHURE (7/10/2025)

Regulatory assets under management

Total Number of Accounts1,853
AUM (Assets Under Management)$ 467,163,139

Red Flags

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.

Company Information

PRENTICE WEALTH MANAGEMENT LLC

CRD#: 160052Rochester, NY 14625

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