Alexander PrenticeCRD Number: 1351248
Current Firm: Lwi Financial Inc.
Alexander Prentice (CRD# 1351248) is an Investment Advisor Representative working at Lwi Financial Inc. in Sacramento, CA and has over 31 years of experience in the finance industry. Alexander Prentice has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Clarion Advisors Inc.
Adams Ashby Financial Advisors
Three Oaks Capital Management
|Loring Ward Advisor Services||San Jose, CA||Sep 2006 - Current||11|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1987|
|S66||NASAA Uniform Combined State Law Examination||Dec 2006|
Total Assets Under Management14,674MILLIONS
Total Number of Accounts50,587ACCOUNTS
Average Account Value$290,073
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV