Andrew T. Prentice

PRENTICE FINANCIAL PLANNING

Olympia, WA 98501

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CRD#: 5011928

Professional summary

Andrew Thomas Prentice, CFP® is a registered financial advisor currently at PRENTICE FINANCIAL PLANNING, LLC located in Olympia, Washington.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Andrew has worked at 3 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Andrew Prentice is one third member of PTS Holdings, LLC which currently owns the building where PFP is located. Andrew Prentice is the landlord for a residential property.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Thomas Prentice's 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: 2012

Experience

Current

August 17, 2017 - Present

PRENTICE FINANCIAL PLANNING, LLC

Office #1: 2407 Pacific Avenue, Suite A, Olympia, WA 98501

RIA

CRD#: 286565

Olympia, WA

Past

July 10, 2012 - December 22, 2017

COLUMBIA RIVER ADVISORS

RIA

CRD#: 154571

OLYMPIA, WA

Past

October 5, 2006 - July 25, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

OLYMPIA, WA

Past

September 1, 2006 - July 25, 2012

LPL FINANCIAL LLC

CRD#: 6413

OLYMPIA, WA

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

Texas
(7/30/2019)

IAR

Washington
(8/17/2017)

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: 10/4/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 8/31/2006

General Securities Representative Examination

Current Firm

PRENTICE FINANCIAL PLANNING, LLC

PRENTICE FINANCIAL PLANNING | PRENTICE WEALTH MANAGEMENT, LLC | PRENTICE FINANCIAL PLANNING, LLC | PRENTICE FINANCIAL PLANNING LLC

CRD#: 286565 / SEC#:

Oregon

Registered Investment Advisory firm - (5/24/2024 Terminated)

Texas

Registered Investment Advisory firm - (7/29/2019 Conditional Restricted)

Washington

Registered Investment Advisory firm - (8/17/2017 Approved)

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).

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Contact information

Main Address

2407 Pacific Avenue Suite A, Olympia, WA 98501

Mailing Address

Phone number

(360) 754-0490

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	538
AUM (Assets Under Management)	$ 87,254,100

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.

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Andrew T. Prentice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Thomas Prentice's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRENTICE FINANCIAL PLANNING, LLC

COLUMBIA RIVER ADVISORS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/4/2006

Series 7

Date: 8/31/2006

Current Firm

PRENTICE FINANCIAL PLANNING, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PRENTICE FINANCIAL PLANNING, LLC

TRUST BUT VERIFY

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