Steven Mace

MACE CAPITAL MANAGEMENT

New York, NY 10036

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CRD#: 2195661

Professional summary

Steven Mace is a registered financial advisor currently at MACE CAPITAL MANAGEMENT, LLC located in New York, New York.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Steven has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

LICENSED INSURANCE AGENT, INVESTMENT RELATED. START DATE 1990'S. APPROXIMATELY 1 HOUR A MONTH. LICENSED REAL ESTATE AGENT IN NY. START DATE 7/2015. APPROXIMATELY 1 HOUR A MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Mace'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

June 30, 2009 - Present

MACE CAPITAL MANAGEMENT, LLC

Office #1: 1120 Avenue Of The Americas Suite 4038, New York, NY 10036

RIA

CRD#: 134605

New York, NY

Past

August 8, 2005 - January 14, 2008

MACE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 134605

NEW YORK, NY

Past

September 15, 1992 - November 24, 2004

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

May 18, 1992 - May 26, 1992

SOUTH RICHMOND SECURITIES, INC.

CRD#: 14913

Past

January 6, 1992 - March 20, 1992

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

January 6, 1992 - March 20, 1992

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

MACE CAPITAL MANAGEMENT, LLC

CRD#: 134605 / SEC#: 801-68603

RIA

Registered Investment Advisory firm - (12/13/2007 Approved)

Florida

Registered Investment Advisory firm - (1/14/2008 Terminated)

Illinois

Registered Investment Advisory firm - (12/20/2007 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/7/2008 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

New York
(2/11/2021)

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

IAR

Series 65

Date: 1/10/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/2/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/15/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/23/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 8

Date: 3/2/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

MACE CAPITAL MANAGEMENT, LLC

CRD#: 134605 / SEC#: 801-68603

RIA

Registered Investment Advisory firm - (12/13/2007 Approved)

Florida

Registered Investment Advisory firm - (1/14/2008 Terminated)

Illinois

Registered Investment Advisory firm - (12/20/2007 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/7/2008 Terminated)

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Contact information

Main Address

1120 Avenue Of The Americas Suite 4038, New York, NY 10036

Mailing Address

Phone number

(212) 626-6632

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A AND 2B MACE CAPITAL (2/11/2025)

Regulatory assets under management

Total Number of Accounts	118
AUM (Assets Under Management)	$ 74,338,156

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

Steven Mace

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Mace's CRS (Customer Relationship Summary).

Certified licenses

Experience

MACE CAPITAL MANAGEMENT, LLC

CHARLES SCHWAB & CO., INC.

SOUTH RICHMOND SECURITIES, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

MACE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/10/2005

Series 63

Date: 1/2/1992

Series 7

Date: 4/15/1992

Series 6

Date: 12/23/1991

Series 8

Date: 3/2/1998

Current Firm

MACE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MACE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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