Christopher R. 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.
Christopher Raymond Pace, who also goes by Christopher Pace, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1994. Christopher had worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2015 - December 31, 2020
LIGHTPATH CAPITAL, INC
January 8, 2013 - October 24, 2013
ALLIANCEBERNSTEIN L.P.
November 29, 2012 - October 24, 2013
SANFORD C. BERNSTEIN & CO., LLC
October 26, 2011 - January 18, 2012
STONNINGTON GROUP, LLC
September 1, 1997 - January 12, 1999
DB ALEX. BROWN LLC
May 6, 1994 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
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: 12/3/2022
General Securities Representative ExaminationCurrent Firm
LIGHTPATH CAPITAL, INC
CRD#: 34617 / SEC#: , 8-46299
Contact information
FINRA licenses (4 States and Territories)
Red Flags
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