William Ulivieri

CENACLE CAPITAL MANAGEMENT

GLENVIEW, IL

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CRD#: 2347701

Professional summary

William Ulivieri is a registered financial advisor currently at CENACLE CAPITAL MANAGEMENT, LLC located in Glenview, Illinois.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. William has worked at 3 firms and has passed the Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Ulivieri'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®

None

Experience

Current

October 20, 2004 - Present

CENACLE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 130804

GLENVIEW, IL

Past

March 14, 2011 - March 28, 2013

EQUITEC PROPRIETARY MARKETS, LLC

CRD#: 113728

CHICAGO, IL

Past

September 26, 2003 - July 15, 2004

EQUITEC SPECIALISTS, LLC

CRD#: 103917

CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(10/20/2004)

IAR

Texas
(2/4/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/3/2004

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 2/21/2001

General Securities Representative Examination

Current Firm

CENACLE CAPITAL MANAGEMENT, LLC

CRD#: 130804 / SEC#:

Illinois

Registered Investment Advisory firm - (4/29/2004 Approved)

Louisiana

Registered Investment Advisory firm - (12/18/2024 Terminated)

Texas

Registered Investment Advisory firm - (2/4/2015 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Glenview, IL

Mailing Address

Phone number

(847) 686-4800

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	130
AUM (Assets Under Management)	$ 20,000,000

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.

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William Ulivieri

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Ulivieri's CRS (Customer Relationship Summary).

Certified licenses

Experience

CENACLE CAPITAL MANAGEMENT, LLC

EQUITEC PROPRIETARY MARKETS, LLC

EQUITEC SPECIALISTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/3/2004

Series 7

Date: 2/21/2001

Current Firm

CENACLE CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CENACLE CAPITAL MANAGEMENT, LLC

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