Albert R. Grace
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.
Albert Rudolph Grace JR, who also goes by Albert R Grace Jr, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1992. Albert had worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 55, Series 3, Series 7, Series 6, Series 24, Series 27 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2019 - December 31, 2020
LIGHTPATH CAPITAL, INC
September 19, 1997 - September 29, 2017
LOOP CAPITAL MARKETS LLC
August 3, 1995 - September 5, 1997
NORTHERN TRUST SECURITIES, INC.
January 6, 1992 - September 28, 1993
SELECTED FINANCIAL SERVICES, 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
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationSeries 55
Date: 6/23/2005
Limited Representative-Equity Trader ExamCurrent Firm
LIGHTPATH CAPITAL, INC
CRD#: 34617 / SEC#: , 8-46299
Contact information
FINRA licenses (4 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
