Charles J. Kace

AMG DISTRIBUTORS

Stamford, CT 06901

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CRD#: 4768656

Professional summary

Charles Joseph Kace III, who also goes by Charles Joseph Kace, Charlie Kace, is a registered financial professional currently at AMG DISTRIBUTORS, INC. located in Stamford, Connecticut.

Charles is registered as a RR (Registered Representative) and started their career in finance in 2004. Charles has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charles Joseph Kace | Charlie Kace

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Joseph Kace III's 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

November 6, 2019 - Present

AMG DISTRIBUTORS, INC.

Office #1: 680 Washington Blvd Suite 500, Stamford, CT 06901

CRD#: 27314

Stamford, CT

Past

May 25, 2016 - September 25, 2019

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

BOSTON, MA

Past

April 6, 2016 - September 25, 2019

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

BOSTON, MA

Past

August 29, 2008 - March 21, 2016

EATON VANCE MANAGEMENT

RIA

CRD#: 104859

BOSTON, MA

Past

March 11, 2004 - March 21, 2016

EATON VANCE DISTRIBUTORS, INC.

CRD#: 37731

BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(11/6/2019)

Massachusetts
(11/6/2019)

Exams

State Security Law Exam

IAR

Series 65

Date: 9/21/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/27/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/8/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/9/2004

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

AMG DISTRIBUTORS, INC.

CRD#: 27314 / SEC#: , 8-43057

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

680 Washington Blvd Suite 500, Stamford, CT 06901

Mailing Address

680 Washington Blvd Suite 500, Stamford, CT 06901

Phone number

(203) 299-3500

Established

Delaware since 12/29/2000

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
AMG FUNDS LLC	SOLE SHAREHOLDER	153456
GALIS, AARON	DIRECTOR	7333959
HOPKINS, THOMAS JOHN	PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER AND FINOP	1835087
JACOBS ANTONACCIO, RACHEL ELIZABETH	HEAD OF CLIENT SOLUTIONS AND PRINCIPAL	3189490
KINNE, KEITHA LEE	PRESIDENT, PRINCIPAL AND CHIEF OPERATING OFFICER	2039630
SPELLMAN, PATRICK JOSEPH	CHIEF COMPLIANCE OFFICER	3086822

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

Charles J. Kace

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Joseph Kace III's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

EATON VANCE MANAGEMENT

EATON VANCE DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/21/2007

Series 63

Date: 4/27/2004

SIE

Date: 10/1/2018

Series 7

Date: 4/8/2008

Series 6

Date: 3/9/2004

FINRA

Current Firm

AMG DISTRIBUTORS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

AMG DISTRIBUTORS, INC.

TRUST BUT VERIFY

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