Andrew W. Prescott

OCEAN BREEZE WEALTH LLC

Winter Garden, FL

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CRD#: 4877660

Professional summary

Andrew William Prescott III, CFP®, who also goes by Andrew Prescott, Drew Prescott, is a registered financial advisor currently at OCEAN BREEZE WEALTH LLC located in Winter Garden, Florida and SHERMAN WEALTH MANAGEMENT LLC located in Winter Garden, Florida.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Andrew has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Core Areas of Focus

College/Education Planning

High Net Worth Client Needs

Investment Advice with Ongoing Management

Socially Responsible Investments

Question & Answer

What are your service offerings?

Investment Planning

Comprehensive Financial Planni...

Retirement Planning

Education Planning

Are you a "fiduciary"?

Yes

Aliases

Andrew Prescott | Drew Prescott

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 Andrew William Prescott III'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: 2015

Experience

Current

February 14, 2018 - Present

OCEAN BREEZE WEALTH LLC

RIA

CRD#: 292434

Winter Garden, FL

Current

June 1, 2023 - Present

SHERMAN WEALTH MANAGEMENT LLC

RIA

CRD#: 281093

WINTER GARDEN, FL

Past

June 1, 2009 - January 11, 2018

MORGAN STANLEY

RIA

CRD#: 149777

WASHINGTON, DC

Past

June 1, 2009 - January 11, 2018

MORGAN STANLEY

CRD#: 149777

WASHINGTON, DC

Past

November 16, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

WASHINGTON, DC

Past

July 27, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

WASHINGTON, DC

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".

SHERMAN WEALTH MANAGEMENT LLC

CRD#: 281093 / SEC#: 801-131124

RIA

Registered Investment Advisory firm - (9/16/2024 Approved)

California

Registered Investment Advisory firm - (10/18/2024 Terminated)

District of Columbia

Registered Investment Advisory firm - (9/18/2024 Terminated)

Florida

Registered Investment Advisory firm - (9/18/2024 Terminated)

Maryland

Registered Investment Advisory firm - (10/9/2024 Terminated)

New York

Registered Investment Advisory firm - (9/18/2024 Terminated)

Texas

Registered Investment Advisory firm - (9/18/2024 Terminated)

Virginia

Registered Investment Advisory firm - (9/24/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Florida
(2/14/2018)

IAR

Maryland
(6/1/2023)

IAR

New York
(7/23/2025)

IAR

Texas
(4/24/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/15/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 1/11/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/26/2006

General Securities Representative Examination

Current Firm

SHERMAN WEALTH MANAGEMENT LLC

CRD#: 281093 / SEC#: 801-131124

RIA

Registered Investment Advisory firm - (9/16/2024 Approved)

California

Registered Investment Advisory firm - (10/18/2024 Terminated)

District of Columbia

Registered Investment Advisory firm - (9/18/2024 Terminated)

Florida

Registered Investment Advisory firm - (9/18/2024 Terminated)

Maryland

Registered Investment Advisory firm - (10/9/2024 Terminated)

New York

Registered Investment Advisory firm - (9/18/2024 Terminated)

Texas

Registered Investment Advisory firm - (9/18/2024 Terminated)

Virginia

Registered Investment Advisory firm - (9/24/2024 Terminated)

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Contact information

Main Address

9841 Washingtonian Blvd Suite #200, Gaithersburg, MD 20878

Mailing Address

Phone number

(240) 428-1622

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025-09-12 SHERMAN WEALTH MANAGEMENT FORM ADV PART 2A (9/12/2025)

Regulatory assets under management

Total Number of Accounts	390
AUM (Assets Under Management)	$ 122,029,029

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.

Contact information

(xxx) xxx-xxxx

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Advisor Monitoring

Firm Stability Insights

Andrew W. Prescott

Professional summary

Core Areas of Focus

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew William Prescott III's CRS (Customer Relationship Summary).

Certified licenses

Experience

SHERMAN WEALTH MANAGEMENT LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

SHERMAN WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/15/2006

SIE

Date: 1/11/2018

Series 7

Date: 7/26/2006

Current Firm

SHERMAN WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHERMAN WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

Contact information

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