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Daniel James Prentice
CRD#: 1927809
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 5200 MEADOWS RD., SUITE 200
LAKE OSWEGO, OR 97035
Registration History
199019952000200520102015202020252 FIRMS1989 - 1995 (5 years)2 FIRMS1997 - 1997 (<1 year)2 FIRMS2004 - 2005 (1 year)2 FIRMS2005 - 2005 (<1 year)2 FIRMS2008 - 2020 (12 years)2 FIRMS2020 - 2022 (2 years)2 FIRMS2022 - 2023 (<1 year)3 FIRMS2023 - 2023 (<1 year)2 FIRMS2023 - Present (1 year)BNEW ENGLAND SECURITIES (CRD# 615)2006 - 2008 (2 years)BPRINCOR FINANCIAL SERVICES COR... (CRD# 1137)2002 - 2004 (1 year)BMUTUAL SERVICE CORPORATION (CRD# 4806)1997 - 2002 (5 years)BMML INVESTORS SERVICES, INC. (CRD# 10409)1995 - 1996 (1 year)IANEW ENGLAND SECURITIES CORPORATION (CRD# 615)2007 - 2008 (<1 year)IAPRINCOR FINANCIAL SERVICES COR... (CRD# 1137)2003 - 2004 (<1 year)
License(s)

State Registrations

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Arizona 7/24/2023

IA
Oregon 7/24/2023

B
Oregon 7/24/2023

B
Washington 7/24/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
5200 MEADOWS RD., SUITE 200, LAKE OSWEGO, OR 97035
Registered with this firm since 7/24/2023

B
LPL FINANCIAL LLC (CRD#:6413)
5200 MEADOWS RD., SUITE 200, LAKE OSWEGO, OR 97035
Registered with this firm since 7/24/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
02/16/2023 - 06/05/2023 CAPITAL ANALYSTS (CRD#:162200) Lake Oswego, OR
IA
02/13/2023 - 06/05/2023 LINCOLN INVESTMENT (CRD#:519) Lake Oswego, OR
B
02/13/2023 - 06/05/2023 LINCOLN INVESTMENT (CRD#:519) Lake Oswego, OR
IA
12/20/2022 - 02/01/2023 TLG ADVISORS, INC. (CRD#:111052) Lake Oswego, OR
B
12/20/2022 - 02/01/2023 THE LEADERS GROUP, INC. (CRD#:37157) LITTLETON, CO
IA
10/30/2020 - 12/31/2022 VANDERBILT ADVISORY SERVICES (CRD#:116537) GASTON, OR
B
10/30/2020 - 12/31/2022 VANDERBILT SECURITIES, LLC (CRD#:5953) WOODBURY, NY
IA
02/04/2008 - 10/30/2020 KMS FINANCIAL SERVICES, INC (CRD#:3866) Vancouver, WA
B
02/04/2008 - 10/30/2020 KMS FINANCIAL SERVICES, INC. (CRD#:3866) Vancouver, WA
IA
12/04/2007 - 02/12/2008 NEW ENGLAND SECURITIES CORPORATION (CRD#:615) PORTLAND, OR
B
01/03/2006 - 02/12/2008 NEW ENGLAND SECURITIES (CRD#:615) PORTLAND, OR
IA
06/01/2005 - 12/14/2005 AXA ADVISORS, LLC (CRD#:6627) PORTLAND, OR
B
06/01/2005 - 12/14/2005 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
IA
05/24/2004 - 06/01/2005 MONY SECURITIES CORPORATION (CRD#:4386) PORTLAND, OR
B
02/10/2004 - 06/01/2005 MONY SECURITIES CORPORATION (CRD#:4386) NEW YORK, NY
IA
03/10/2003 - 02/09/2004 PRINCOR FINANCIAL SERVICES CORPORATION (CRD#:1137) PORTLAND, OR
B
08/27/2002 - 02/09/2004 PRINCOR FINANCIAL SERVICES CORPORATION (CRD#:1137) DES MOINES, IA
B
05/20/1997 - 08/08/2002 MUTUAL SERVICE CORPORATION (CRD#:4806) BOSTON, MA
B
02/06/1997 - 03/31/1997 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
B
02/05/1997 - 03/31/1997 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
B
07/18/1995 - 12/13/1996 MML INVESTORS SERVICES, INC. (CRD#:10409) SPRINGFIELD, MA
B
10/23/1989 - 07/14/1995 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
B
10/23/1989 - 07/14/1995 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.