Stephen J. 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.
Stephen Jeffrey Pace was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2012. Stephen had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2015 - June 26, 2017
LEFAVI WEALTH MANAGEMENT
March 18, 2014 - June 26, 2017
BRUCE A. LEFAVI SECURITIES, INC.
December 4, 2012 - March 14, 2014
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
LEFAVI WEALTH MANAGEMENT
CRD#: 104961 / SEC#: 801-73029
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
Current Firm
LEFAVI WEALTH MANAGEMENT
CRD#: 104961 / SEC#: 801-73029
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,565 |
| AUM (Assets Under Management) | $ 438,841,383 |
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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