Carol L. Pace
Professional summary
Carol Lynn Pace is a registered financial professional currently at DAVID LERNER ASSOCIATES, INC. located in Westport, Connecticut.
Carol is registered as a RR (Registered Representative) and started their career in finance in 2005. Carol has worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 11 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carol Lynn Pace's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 30, 2005 - Present
DAVID LERNER ASSOCIATES, INC.
Office #1: 1221 Post Road, Westport, CT 06880State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/1/2011)
(8/22/2011)
Exams
Series 11
Date: 3/29/2005
Assistant Representative-Order Processing Qualification ExamFINRA
Current Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
Red Flags
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Company Information
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397Westport, CT 06880TRUST BUT VERIFY
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