Dennis Arcilla
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.
Dennis Arcilla was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 2005. Dennis had worked at 5 firms and has passed the Series 63, SIE, Series 28 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
August 23, 2010 - December 14, 2017
UNION SQUARE ADVISORS LLC
August 7, 2007 - January 21, 2010
MERRIMAN CAPITAL, INC.
November 20, 2006 - August 1, 2007
URCHIN CAPITAL PARTNERS, LLC
August 4, 2006 - August 29, 2006
HOWE BARNES HOEFER & ARNETT, INC.
May 19, 2005 - August 4, 2006
HOEFER & ARNETT, 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 28
Date: 3/9/2013
Introducing Broker/Dealer Financial Operations Principal 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| SEC | ERA - Withdrawn | 4/4/2024 |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.
Check for any disclosures as part of your thorough research when choosing an advisor.
