ES
Edward R. Smith
UNION SQUARE ADVISORS LLC
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 2085236
ES
Professional summary
Edward Rife Smith, who also goes by Ted Smith, is a registered financial professional currently at UNION SQUARE ADVISORS LLC located in San Francisco, California.
Edward is registered as a RR (Registered Representative) and started their career in finance in 2000. Edward has worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ted Smith
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Edward Rife Smith's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 9, 2007 - Present
UNION SQUARE ADVISORS LLC
Office #1: 1 Embarcadero Center Suite 950, San Francisco, CA 94111Office #2: 1 Embarcadero Center Suite 950, San Francisco, CA 94111BD
CRD#: 141254
San Francisco, CA
Past
November 3, 2000 - September 19, 2002
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
August 15, 2000 - October 6, 2005
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(1/9/2007)
RR
Colorado(4/18/2008)
RR
Connecticut(5/19/2008)
RR
District of Columbia(5/13/2008)
RR
Florida(6/3/2019)
RR
Georgia(10/2/2020)
RR
Illinois(2/27/2018)
RR
Maryland(5/13/2008)
RR
Massachusetts(5/12/2008)
RR
New Jersey(12/8/2020)
RR
New York(2/20/2008)
RR
Pennsylvania(5/12/2008)
RR
Texas(5/21/2008)
RR
Utah(2/7/2018)
RR
Virginia(4/18/2008)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
US
UNION SQUARE ADVISORS LLC
SEACLIFF GROUP LLC | UNION SQUARE ADVISORS LLC
CRD#: 141254 / SEC#: 802-119325, 8-67371
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
1 Embarcadero Center Suite 950, San Francisco, CA 94111
Mailing Address
1 Embarcadero Center Suite 950, San Francisco, CA 94111
Phone number
(415) 501-8000
Established
Delaware since 06/15/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
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
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
