Regulation S-P, put forth by the SEC in 2000 to safeguard the private, non-public information of
advisory clients, is the foundation of Prentice’s privacy policy. Under this regulation, associated
persons of Prentice Wealth Management, LLC are prohibited from disclosing confidential client
information to any third party except:

(a) As necessary to provide services requested or authorized by the client or to maintain
and provide service to the client’s account;

(b) As required by industry regulatory bodies or law enforcement agencies having
jurisdiction over Prentice or as otherwise required by law; or

(c) To the extent reasonably necessary to counter fraud, unauthorized transactions or
potential liabilities.

Client confidential information may include, but is not limited to, the following:

(a) Personal and account data;

(b) Allocation of assets within the client’s portfolio;

(c) Specific investments held within a client’s portfolio;

(d) Advice provided to the client by the Firm; and

(e) Analyses prepared for the client based on confidential information.

All associated persons of the Firm are bound to confidentiality regarding client information while
associated with the Firm, as well as following their termination, as disclosed in a Confidentiality
Agreement each is required to sign upon joining the Firm. Each associated person is also required
to review the Firm’s Privacy Policy initially upon joining the Firm and annually thereafter, as
evidenced by their signature on a certification form. These certification forms and agreements are
maintained by the CCO in conjunction with the Firm’s Written Supervisory Policy and Procedures
Manual. Outside vendors employed by Prentice, who in the conduct of their services for the Firm
may have access to confidential client information, are required to sign a Confidentiality Agreement
as well.

Info

Securities offered through Cadaret, Grant & Co., Inc., Member FINRA/SIPC
Advisory services offered through Prentice Wealth Management, LLC, an SEC Registered Investment Advisor.
Prentice Wealth Management, LLC and Cadaret, Grant & Co., Inc. are separate entities.

Prentice Wealth Management, LLC (PWM) is a Registered Investment Advisor that is registered with the United States Securities and Exchange Commission (“SEC”) and is notice filed in the state of New York and Florida. PWM only provides investment advisory services in states where it is notice filed or where it qualifies for an exemption. Our Form ADV is available upon request.

William J. Prentice II AWMA®, CFP®, CIMA® is licensed to transact securities business in the following states:

CA, CT, DC, FL, GA, IN, MD, MA, MI, NJ, NY, NC, OR, PA, RI, SC and TX.

Member, Security Investor Protection Corporation


Investor Education Foundation