MC
Malcolm G. Chace
CANTON HATHAWAY LLC
Providence, RI 02903
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CRD#: 2117049
MC
Professional summary
Malcolm Greene Chace, who also goes by Malcolm G, Chace Jr., Malcolm Gerrne Chace, Malcolm Greene Chace IV, is a registered financial advisor currently at CANTON HATHAWAY LLC located in Providence, Rhode Island.
Malcolm is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Malcolm has worked at 6 firms and has passed the Series 63, Series 65, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Malcolm G, Chace Jr. | Malcolm Gerrne Chace | Malcolm Greene Chace Iv
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
MALCOLM CHACE IS THE OWNER OF EMB, LLC AT 1 WEST EXCHANGE STREET, STE 3202, PROVIDENCE , RI 02903 SINCE 2018. FAMILY OFFICE PROVIDING ADMINISTRATIVE, ACCOUTNING, AND INVESTMENT RELATED OVERSIGHT FOR FAMILY ACCOUNTS. HE SPENDS APPROX 10 HOURS PER WEEK ON THIS ACTIVITY DURING TRADING HOURS. MALCOLM CHACE IS THE OWNER OF SEVERAL CHACE CAPITAL HOLDINGS, LLCS AT 1 WEST EXCHANGE STREET, STE 3202, PROVIDENCE , RI 02903, SINCE 2015. EACH LLC SERVES AS A FAMILY INVESTMENT VEHICLE FOR POOLING FAMILY FUNDS TO MAKE PRIVATE INVESTEMTNS. NO OUTSIDE INVESTORS ARE SOLICITED. MR. CHACE MAY RECEIVE ALLOCATIONS OR DISTRIBUTIONS OF INVESTMENT INCOME, BUT NO ADVISORY FEES ARE EARNED. HE SPENDS APPROX 10 HOURS A MONTH ON THIS ACTIVITY DURING TRADING HOURS. MALCOLM CHACE IS TRUSTEE FOR VARIOUS FAMILY MEMBERS TRUSTS: BARBARA B. CHACE REVOCABLE TRUST U/A/D/ 9/17/03 - CO-TRUSTEE JONATHAN C. GOULD TRUST DTD 4/25/95 - TRUSTEE RYAN T. CHACE TRUST DTD 2/23/97 - TRUSTEE JOHN B. CHACE TRUST DTD. 4/24/99 - TRUSTEE MALCOLM G. CHACE TRUST DTD 4/24/95 - TRUSTEE MALCOLM G. CHACE IV ET AL TRUST DED 11/30/66 - TRUSTEE THE MALCOLM G. CHACE, JR. QTIP TRUST - TRUSTEE MALCOLM G. CHACE, JR. REVOCABLE TRUST - 2002 - TRUSTEE ELIZABETH E. CHACE ET AL TRUST DED 11/30/66 - TRUSTEE BARBARA B. CHACE ET AL TRUST DTD. 11/30/66 - CO-TRUSTEE ANNABEL GOULD TRUST - CO-TRUSTEE BROOKE ULEHLA TRUST - CO-TRUSTEE MICHAEL PELTON TRUST - CO-TRUSTEE MATTHEW CHACE PELTON TRUST - CO-TRUSTEE RUBY SUNDELL TRUST - CO-TRUSTEE APPOINTIVE TRUST U/A 10/1/07 - CO-TRUSTEE DANA SUNDELL TRUST DTD 1/2/03 - TRUSTEE ELIZABETH SUNDELL FAMILY IRREV TRUST DTD 10/27/05 - TRUSTEE MALERIN IRREV FAMILY TRUST - TRUSTEE BARBARA B. CHACE FAMILY TRUST U/A 8/8/12 - CO-TRUSTEE BARBARA B. CHACE IRREV TRUST U/A 11/11/05 - CO-TRUSTEE BARBARA CHACE REV TRUST 9/17/2023 - TRUSTEE MALCOLM G. CHACE TRUST U/A 8/11/96 - CO-TRUSTEE MALCOLM CHACE JR. TRUST U/A 6/9/93 - CO-TRUSTEE
CRS (Client Relationship Summary) - RIA
Click below to view Malcolm Greene Chace's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 16, 2018 - Present
CANTON HATHAWAY LLC
Office #1: One West Exchange Street Suite 3202, Providence, RI 02903RIA
CRD#: 297527
Providence, RI
Past
March 27, 2015 - August 7, 2018
WHALEROCK POINT PARTNERS, LLC
RIA
CRD#: 140781
PROVIDENCE, RI
Past
September 16, 2009 - March 4, 2013
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
PROVIDENCE, RI
Past
September 1, 2009 - March 4, 2013
OPPENHEIMER & CO. INC.
BD
CRD#: 249
PROVIDENCE, RI
Past
September 29, 1997 - September 25, 2012
BALDWIN WEALTH PARTNERS, LLC
RIA
CRD#: 105343
PROVIDENCE, RI
Past
October 4, 1995 - December 9, 1995
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
June 24, 1991 - September 8, 1995
DEAM INVESTOR SERVICES, INC.
BD
CRD#: 754
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CH
CANTON HATHAWAY LLC
CANTON HATHAWAY LLC
CRD#: 297527 / SEC#: 801-113544
RIA
Registered Investment Advisory firm - (7/6/2018 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Rhode Island(8/16/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CH
CANTON HATHAWAY LLC
CANTON HATHAWAY LLC
CRD#: 297527 / SEC#: 801-113544
RIA
Registered Investment Advisory firm - (7/6/2018 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
One West Exchange Street Suite 3202, Providence, RI 02903
Mailing Address
Phone number
(401) 433-7800
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 109 |
| AUM (Assets Under Management) | $ 672,683,658 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/30/2025 | ||
| 01/16/2025 | ||
| 11/01/2023 | ||
| 01/06/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CANTON HATHAWAY LLC
CRD#: 297527Providence, RI 02903TRUST BUT VERIFY
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