Candice Lightfoot has been Chief Compliance Officer of Canton Hathaway since May 2025, is not listed as a control person, but directly owns under 5% of the firm.
Canton Hathaway LLC is a Providence, RI firm with $866M under management, 96 clients and 5 advisers across 2 offices, as of its March 2026 filing.
No adviser firm registrations are on Candice Lightfoot’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 24 July 2008 |
| Series 7 | General Securities Representative Examination | 11 January 2008 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Candice Amanda Lightfoot
- CRD
- 4885526
- Firm
- Canton Hathaway · CRD 297527
- Role
- Chief Compliance Officer
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does Candice Lightfoot work?
Candice Lightfoot has been Chief Compliance Officer of Canton Hathaway LLC since May 2025.
Does Candice Lightfoot have a current investment-adviser registration?
Candice Lightfoot has no current investment-adviser or broker registration.
What exams has Candice Lightfoot passed?
Candice Lightfoot has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in January 2008. FINRA credited Candice Lightfoot with the SIE, which began in October 2018.
Is Candice Lightfoot registered with FINRA?
No. Candice Lightfoot has no current broker registration.
How can I verify Candice Lightfoot’s record?
Search CRD 4885526 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Candice Lightfoot’s full registration record.