Caroline W. Pace

CLEARSTEAD; HARTLAND & CO.; CLEARSTEAD ADVISORY SOLUTIONS

Norfolk, VA 23510

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CRD#: 7395392

Professional summary

Caroline Wilkes Pace, who also goes by Caroline Grace Pace, Caroline Grace Wilkes, Caroline Wilkes, is a registered financial advisor currently at CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS located in Norfolk, Virginia.

Caroline is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Caroline has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Caroline Grace Pace | Caroline Grace Wilkes | Caroline Wilkes

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.

EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caroline Wilkes Pace's CRS (Customer Relationship Summary).

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

April 25, 2024 - Present

CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS

Office #1: 150 West Main Street Suite 1700, Norfolk, VA 23510

RIA

CRD#: 105674

Norfolk, VA

Past

January 7, 2024 - April 25, 2024

WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC

RIA

CRD#: 106060

Roanoke, VA

Past

September 14, 2021 - November 1, 2023

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

CHARLOTTE, NC

Past

July 26, 2021 - November 1, 2023

VANGUARD MARKETING CORPORATION

CRD#: 7452

CHARLOTTE, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS

CRD#: 105674 / SEC#: 801-33554

RIA

Registered Investment Advisory firm - (12/29/1988 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Virginia
(4/25/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/10/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/26/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/24/2021

Securities Industry Essentials Examination

Current Firm

CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS

CRD#: 105674 / SEC#: 801-33554

RIA

Registered Investment Advisory firm - (12/29/1988 Approved)

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Contact information

Main Address

1100 Superior Ave East Suite 700, Cleveland, OH 44114

Mailing Address

Phone number

(216) 621-1090

Established

Firm type

Fiscal year end

# of Employees

223

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CLEARSTEAD FORM ADV PART 2A - PRIVATE CLIENT - 3-21-2025 (3/21/2025)

ADV PART 2A - CLEARSTEAD ADVISORY SOLUTIONS, A DIVISION OF CLEARSTEAD ADVISORS LLC - 3-21-2025 (3/21/2025)

CLEARSTEAD FORM ADV PART 2A - INSTITUTIONAL CLIENT - 3-21-2025 (3/21/2025)

Regulatory assets under management

Total Number of Accounts	12,144
AUM (Assets Under Management)	$ 24,294,182,322

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/19/2025	Cover Page	Report
11/27/2024	Cover Page	Report
01/10/2024	Cover Page	Report

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.

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Caroline W. Pace

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caroline Wilkes Pace's CRS (Customer Relationship Summary).

Certified licenses

Experience

WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS

State Registrations and Notice Filings

Exams

Series 66

Date: 8/10/2021

Series 7TO

Date: 7/26/2021

SIE

Date: 2/24/2021

Current Firm

CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS

TRUST BUT VERIFY

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