Charles W. 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.
Charles Wellington Pace was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1965. Charles had worked at 6 firms and has passed the SIE, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2015 - September 5, 2018
FFEC WEALTH PARTNERS LLC
April 30, 1986 - July 8, 2015
MATCH-POINT SECURITIES, LLC
January 28, 1986 - May 12, 1986
BROWN AND BROWN SECURITIES, INC.
June 19, 1984 - January 2, 1986
GILFORD SECURITIES INCORPORATED
May 7, 1984 - August 7, 1984
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
March 12, 1981 - March 23, 1984
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
April 8, 1965 - February 9, 1981
SCHNEIDER, BERNET & HICKMAN, 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 1
Date: 4/6/1965
Registered Representative ExaminationSeries 40
Date: 5/4/1976
Registered Principal ExaminationCurrent Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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