Alan Pace
Professional Summary
Alan Pace, who also goes by Alan Pace, was a registered financial advisor. Alan was a previously registered financial professional and started their career in finance 2002 - 2017. Alan had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Alan Pace
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
24 years in the financial services industry
Current & Past Employments
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Current Firm
CITICORP SECURITIES SERVICES, INC. | NEWBRIDGE SECURITIES INC.
Contact Information
Main Address
390 - 388 Greenwich Street 388 Greenwich Street, New York, NY 10013Mailing Address
Registration Department 540 Crosspoint Parkway, Getzville, NY 14068Phone Number
(212) 723-7600Established
Delaware since 04/16/1984Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP FINANCIAL PRODUCTS INC. | 100% SHAREHOLDER | — |
| BARRATT, CHRISTOPHER | CHIEF OPERATIONS OFFICER | 5659131 |
| BROPHY, RYAN JAMES | CCO | 2668207 |
| CONWAY, JOHN JAMES | CHIEF FINANCIAL OFFICER (FINOP) | 1584619 |
| LARA, PABLO I | DIRECTOR | 5398044 |
| MAILLEUX, SEBASTIEN ANDRE PAUL | CHIEF EXECUTIVE OFFICER/CHAIRMAN/PRESIDENT | 7545656 |
| MAILLEUX, SEBASTIEN ANDRE PAUL | DIRECTOR | 7545656 |
| WADE, WILLIAM THOMAS | DIRECTOR | 2095481 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Apr 2003About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2003About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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