Nathaniel S. Prentice

PRENTICE INVESTMENT MANAGEMENT

Garrison, NY

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CRD#: 832532

Professional summary

Nathaniel Sartell Prentice, CFA is a registered financial advisor currently at PRENTICE INVESTMENT MANAGEMENT, LLC located in Garrison, New York.

Nathaniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1977. Nathaniel has worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 8 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nathaniel Sartell 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®

CFA

Chartered Financial Analyst

Experience

Current

March 18, 2022 - Present

PRENTICE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 293723

Garrison, NY

Past

June 4, 2014 - February 8, 2016

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Purchase, NY

Past

June 28, 2012 - May 8, 2018

ALTIUM WEALTH MANAGEMENT LLC

RIA

CRD#: 154719

PURCHASE, NY

Past

May 2, 2008 - June 18, 2012

OPPENHEIMER & CO. INC.

CRD#: 249

FISHKILL, NY

Past

April 11, 2008 - June 18, 2012

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

FISHKILL, NY

Past

November 27, 2006 - March 24, 2008

WILMINGTON TRUST INVESTMENT ADVISORS, INC.

RIA

CRD#: 106909

BALTIMORE, MD

Past

November 10, 2004 - May 17, 2005

MATRIX U.S.A., LLC

CRD#: 38057

NEW YORK, NY

Past

March 16, 1999 - November 26, 2004

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 1, 1997 - March 5, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

January 26, 1977 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

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

New York
(3/18/2022)

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

Series 63

Date: 5/15/2008

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/10/1994

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 2/8/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/1/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 6/3/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

PRENTICE INVESTMENT MANAGEMENT, LLC

CRD#: 293723 / SEC#: 801-112942

RIA

Registered Investment Advisory firm - (10/24/2018 Terminated)

New York

Registered Investment Advisory firm - (10/19/2018 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

848 Route 9d, Garrison, NY 10524

Mailing Address

Phone number

(845) 661-8937

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	33
AUM (Assets Under Management)	$ 19,600,000

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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Nathaniel S. Prentice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nathaniel Sartell Prentice's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

ALTIUM WEALTH MANAGEMENT LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

WILMINGTON TRUST INVESTMENT ADVISORS, INC.

MATRIX U.S.A., LLC

UBS FINANCIAL SERVICES INC.

DB ALEX. BROWN LLC

ALEX. BROWN & SONS INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 5/15/2008

Series 65

Date: 10/10/1994

SIE

Date: 2/8/2016

Series 7

Date: 5/1/2008

Series 8

Date: 6/3/1994

Current Firm

PRENTICE INVESTMENT MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PRENTICE INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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