Unclaimed
Carlton Brien Pace is a financial advisor with RBC Capital Markets, LLC. Carlton has been in the financial services industry since February 20, 1991 and has a long history of experience with other firms, including Wells Fargo Clearing Services, LLC, Prudential Securities Incorporated and PaineWebber Incorporated. Carlton holds licenses and certifications in a variety of areas, including Series 65, Series 63, Series 31, Series 7 and the SIE. Carlton has a broad range of experience in providing financial advice and investment management for individuals and businesses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
CA
01/16/2018 - Present
RBC Capital Markets, LLC (SAN JOSE CA)
CA
07/01/2003 - 01/25/2018
WELLS FARGO CLEARING SERVICES, LLC (SAN JOSE CA)
NY
03/21/1995 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
02/21/1991 - 04/05/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 08/06/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/01/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/22/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 02/13/1991
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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