Paul T. Inouye
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Paul Tadashi Inouye was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1996. Paul had worked at 12 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 7, Series 62 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2015 - February 3, 2020
UNION SQUARE ADVISORS LLC
August 7, 2012 - July 1, 2015
MOELIS & COMPANY LLC
November 3, 2008 - January 18, 2012
PERELLA WEINBERG PARTNERS LP
September 22, 2008 - November 5, 2008
BARCLAYS CAPITAL INC.
August 31, 2006 - September 22, 2008
LEHMAN BROTHERS INC.
September 15, 2003 - August 9, 2006
PIPER SANDLER & CO.
January 2, 2003 - September 10, 2003
B. RILEY SECURITIES, INC.
May 1, 2001 - December 6, 2001
MORGAN STANLEY & CO. LLC
September 1, 1998 - October 15, 1999
ROBERTSON STEPHENS, INC.
October 1, 1997 - September 1, 1998
BANCAMERICA SECURITIES, INC.
July 19, 1996 - October 1, 1997
ROBERTSON, STEPHENS & COMPANY LLC
April 24, 1996 - July 8, 1996
ALEX. BROWN & SONS INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/3/2025
General Securities Representative ExaminationSeries 79TO
Date: 12/9/2024
Investment Banking Registered Representative ExaminationSeries 62
Date: 4/23/1996
Corporate Securities Limited Representative ExaminationCurrent Firm
UNION SQUARE ADVISORS LLC
CRD#: 141254 / SEC#: 802-119325, 8-67371
Contact information
FINRA licenses (22 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SEACLIFF ADVISORS LLC | SOLE MEMBER OF THE APPLICANT | |
| KAWARABAYASHI, WAYNE I | CHIEF OPERATIONS OFFICER AND AML COMPLIANCE OFFICER | 3149707 |
| MCCLELLAND, WILLIAM CARTER | CHAIRMAN & CEO | 815173 |
| MEYER, MICHAEL WILLIAM | CHIEF EXECUTIVE OFFICER | 2021325 |
| POSTREL, HELENE BERSON | FINANCIAL OPERATIONS PRINCIPAL | 2240945 |
| SMITH, EDWARD RIFE | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2085236 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 4/4/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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