Randolph K. 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.
Randolph Kip Pace was a registered financial professional .
Randolph is a previously registered financial professional and started their career in finance in 1970. Randolph had worked at 9 firms and has passed the Series 63, Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 1983 - August 14, 1987
PROVIDENCE SECURITIES, INC.
November 20, 1981 - May 17, 1982
ROONEY, PACE ENERGY CORP.
June 27, 1979 - January 4, 1984
STATE STREET SECURITIES, INC.
June 28, 1978 - February 3, 1987
ROONEY, PACE INC.
March 10, 1977 - October 6, 1978
ROSS, STEBBINS INC.
June 25, 1976 - January 28, 1977
BAIRD, PATRICK & CO., INC.
February 11, 1976 - July 14, 1976
CANTOR FITZGERALD & CO.
November 20, 1973 - July 7, 1976
R.K. PACE, POST & CO.
August 10, 1970 - February 5, 1974
WILLIAM NORTON & COMPANY, 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: 4/28/1969
Registered Representative ExaminationF04
Date: 11/3/1975
Financial Principal ExaminationSeries 00
Date: 10/5/1972
General Securities Principal ExaminationCurrent Firm
PROVIDENCE SECURITIES, INC.
CRD#: 14119 / SEC#: , 8-30274
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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