Adviser and broker representative · RBC Capital Markets, LLC
Carlton B. Pace
CRD 2125319 · San Jose, CA
At a glance
Carlton B. Pace is an investment adviser representative with RBC Capital Markets, LLC in San Jose, CA, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Carlton’s SEC record dates to 1998, about 28 years ago. Carlton is also registered as a broker representative.
Current advisory firm
- RBC Capital Markets, LLCSince January 2018San Jose, CA · $310B in regulatory assets
SEC adviser record
- Registered since
- 1998 (28 years)
- Designations
- None on file
- Exams
- Series 63, Series 65
- Registered in
- 2 states
- Also a broker representative
- Yes
- Disclosures on record
- Yes, see the SEC record
AtlasMembers
Carlton’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 2 firmsLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.