Travis M. 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.
Travis Majors Pace, who also goes by Travis Pace, was a registered financial professional .
Travis is a previously registered financial professional and started their career in finance in 2015. Travis had worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2015 - August 4, 2016
WOODROCK SECURITIES, L.P.
January 14, 2015 - September 25, 2015
GALWAY CAPITAL, L.P.
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
WOODROCK SECURITIES, L.P.
CRD#: 133653 / SEC#: , 8-66753
Contact information
FINRA licenses (22 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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.
