Edwin L. Pace
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Edwin Lee Pace, who also goes by Ed Pace, was a registered financial professional .
Edwin is a previously registered financial professional and started their career in finance in 1982. Edwin had worked at 8 firms and has passed the Series 63, Series 7, Series 3 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 1997 - December 31, 1998
LOCUST STREET SECURITIES, INC.
August 14, 1996 - March 17, 1997
IDS LIFE INSURANCE COMPANY
August 14, 1996 - March 17, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
May 19, 1993 - January 16, 1995
EDWARD JONES
April 10, 1987 - December 31, 1989
SIGNATOR INVESTORS, INC.
April 10, 1987 - March 6, 1991
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 22, 1982 - September 2, 1982
ARM SECURITIES CORPORATION
April 2, 1982 - November 14, 1983
PRINCIPAL SECURITIES, INC.
April 2, 1982 - February 5, 1987
PRINCIPAL SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LOCUST STREET SECURITIES, INC.
CRD#: 1703 / SEC#: , 8-14037
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ING ADVISORS NETWORK. INC | SOLE SHAREHOLDER | |
| COKINIS, CHRISTOPHER ALEX | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER AND SECRETARY | 1527389 |
| FRIEBERG, DAVID EUGENE | VICE PRESIDENT, RECRUITING | 1289486 |
| LARAIA, KEVIN MICHAEL | TREASURER, VICE PRESIDENT FINANCE & OPERATIONS, FIN OP, COO | 2456743 |
| LINDBERG, KARL STEPHEN | PRESIDENT/DIRECTOR | 1001270 |
| SIMMERS, JOHN STEPHEN | CHAIRMAN OF BOARD | 711578 |
| STEPHENS, LYNN ANNETTE | VICE PRESIDENT, BUSINESS DEVELOPMENT | 2169858 |
| STYCH, KEVIN PAUL | VICE PRESIDENT, SALES & MARKETING | 1904094 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Red Flags
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