Penelope Jayne Kaufman
Investment Adviser Representative at Prentiss Smith & Company, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Penelope Jayne Kaufman is an investment adviser representative with Prentiss Smith & Company, Inc. in Brattleboro, VT, where they have been registered since 2007, the year they entered the securities industry. They have passed the Series 65 (investment adviser) exam. They are registered to provide investment advice in California, Massachusetts, New Hampshire, New York, and Vermont.
Office
Advisors at this office: 3
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California, Massachusetts, New Hampshire, New York, Vermont
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Prentiss Smith & CompanyApr 1999 – no end date reportedBrattleboro, VT
Official records & sources
Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Prentiss Smith & Company, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Investment strategy, equity selection, reports and fees, and quarterly updates.
Client types the firm serves
Firm assets under management
$100M–$500M
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 5
- Offices listed on AdvisorFinder:
- 2
- Main office:
- Brattleboro, VT
- Founded:
- 1982
- SEC file number:
- 801-17579
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of June 18, 2026
View full firm profileOther advisors at Prentiss Smith & Company, Inc.
4 other advisors in the directory
Similar advisors in Brattleboro, VT
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Penelope Jayne Kaufman has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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