Malcolm G. Chace

CANTON HATHAWAY LLC

Providence, RI 02903

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CRD#: 2117049

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Malcolm Greene Chace's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 16, 2018 - Present

CANTON HATHAWAY LLC

Office #1: One West Exchange Street Suite 3202, Providence, RI 02903

RIA

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.

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

CRD#: 11025

ST. LOUIS, MO

Past

June 24, 1991 - September 8, 1995

DEAM INVESTOR SERVICES, INC.

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".

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)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/31/2009

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/8/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 8/31/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/21/1991

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CANTON HATHAWAY LLC

CRD#: 297527 / SEC#: 801-113544

RIA

Registered Investment Advisory firm - (7/6/2018 Approved)

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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

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 ANNUAL AMENDMENT BROCHURE 6/25 (6/16/2025)

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	Cover Page	Report
01/16/2025	Cover Page	Report
11/01/2023	Cover Page	Report
01/06/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Malcolm G. Chace

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Malcolm Greene Chace's CRS (Customer Relationship Summary).

Certified licenses

Experience

WHALEROCK POINT PARTNERS, LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

BALDWIN WEALTH PARTNERS, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

DEAM INVESTOR SERVICES, INC.

Primary Firm SEC Registration

CANTON HATHAWAY LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/31/2009

Series 65

Date: 8/8/1996

Series 7

Date: 8/31/2009

Series 6

Date: 6/21/1991

Current Firm

CANTON HATHAWAY LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CANTON HATHAWAY LLC

TRUST BUT VERIFY

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