Malcolm Chace has been Managing Partner of Canton Hathaway since June 2018, is a control person of the firm and directly owns between 10% and 25% of it.
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.
Malcolm Chace’s longest registration was 14 years at Baldwin Brothers Inc (1997–2012). Before joining Canton Hathaway in 2018, Malcolm Chace was registered through Whalerock Point Partners, LLC and Oppenheimer & Co. Inc.
- Canton Hathaway LLCCurrent– present · 8 yearsProvidence, RI · Adviser representative · Firm CRD 297527
- Whalerock Point Partners, LLC– · 3 yearsProvidence, RI · Adviser representative · Firm CRD 140781
- Oppenheimer & Co. Inc.– · 3 yearsProvidence, RI · Adviser representative · Firm CRD 249
- Baldwin Brothers Inc– · 14 yearsProvidence, RI · Adviser representative · Firm CRD 105343
Investment adviser representative registrations
Malcolm Chace is registered as an investment adviser representative in Rhode Island, since August 2018.
- Rhode IslandSince 16 August 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 31 December 2009 |
| Series 7 | General Securities Representative Examination | 31 August 2009 |
| Series 65 | Uniform Investment Adviser Law Examination | 8 August 1996 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 21 June 1991 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Malcolm Greene Chace
- CRD
- 2117049
- Firm
- Canton Hathaway · CRD 297527
- Role
- Managing Partner
- Office
- ONE WEST EXCHANGE STREET, SUITE 3202, Providence, RI 02903
- Registration
- Investment adviser registration
- In the industry since
- October 1999
- Disciplinary history
- Not yet shown here · SEC record
Where does Malcolm Chace work?
Malcolm Chace has been Managing Partner of Canton Hathaway LLC since June 2018, and is a control person of the firm.
Is Malcolm Chace a financial advisor?
Yes. Malcolm Chace has a current investment-adviser registration in Rhode Island, through Canton Hathaway since August 2018.
How many years of experience does Malcolm Chace have?
Malcolm Chace has 26 years in the financial industry, since October 1999, across 4 adviser firms.
What exams has Malcolm Chace passed?
Malcolm Chace has passed 4 licensing exams: the Series 6, Series 65, Series 7 and Series 63. The earliest, the Series 6, was passed in June 1991.
Where did Malcolm Chace work before Canton Hathaway?
Before Canton Hathaway, Malcolm Chace was registered through Whalerock Point Partners, LLC, March 2015 to August 2018; Oppenheimer & Co. Inc., September 2009 to March 2013; Baldwin Brothers Inc, September 1997 to September 2012.
Where is Malcolm Chace based?
Malcolm Chace’s registered office is in Providence, RI.
Is Malcolm Chace registered with FINRA?
No. Malcolm Chace has no current broker registration.
How can I verify Malcolm Chace’s record?
Search CRD 2117049 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Malcolm Chace’s full registration record.