Secretary, Vice President and Chief Compliance Officer · Prentiss Smith & Company, Inc.
Karlie P. Borst
CRD 2748793 · Named on Form ADV at one SEC-registered adviser
At a glance
Prentiss Smith & Company, Inc., an SEC-registered wealth manager based in Brattleboro, VT with $453 million in regulatory assets, lists Karlie P. Borst on its Form ADV as Secretary, Vice President and Chief Compliance Officer, a control person.
Firms and roles
- Prentiss Smith & Company, Inc.Secretary, Vice President and Chief Compliance OfficerWealth manager · Brattleboro, VT · $453M in regulatory assets
AtlasMembers
Karlie’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
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- Control-person status
- 1 firmLocked
- When each role began
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- Each firm’s assets and growth
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Colleagues named on the same filings (7)
- Prentiss C. SmithDirector/treasurer/owner, Prentiss Smith & Company, Inc.
- Martha M. RichardsonDirector, Prentiss Smith & Company, Inc.
- Prentiss R. SmithPresident/director/owner, Prentiss Smith & Company, Inc.
- Elizabeth R. SmithOwner, Prentiss Smith & Company, Inc.
- Whitney P SmithOwner, Prentiss Smith & Company, Inc.
2 more people named with Karlie on the same filings, with titles and firms. Free in Atlas with a free account.
See all 7 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Karlie’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.