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Todd M. Meadow

UNION SQUARE ADVISORS LLC
New York, NY 10019
Some features on this profile are disabled
CRD#: 5377042
TM

Professional summary

Todd Mackenzie Meadow, who also goes by Todd Mackenzie Meadow, Tood Mackenzie Meadow, is a registered financial professional currently at UNION SQUARE ADVISORS LLC located in New York, New York.

Todd is registered as a RR (Registered Representative) and started their career in finance in 2009. Todd has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 79, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Todd Mackenzie Meadow | Tood Mackenzie Meadow

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) - BD

Click below to view Todd Mackenzie Meadow's CRS (Customer Relationship Summary).
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

August 1, 2024 - Present

UNION SQUARE ADVISORS LLC

Office #1: 1350 Avenue Of The Americas, Suite 700, New York, NY 10019
BD
CRD#: 141254
New York, NY
Past

May 8, 2024 - July 16, 2024

DEVON PARK SECURITIES, LLC

BD
CRD#: 327313
WELLINGTON, FL
Past

August 1, 2023 - May 16, 2024

INTE SECURITIES LLC

BD
CRD#: 47107
BOCA RATON, FL
Past

July 24, 2018 - March 28, 2023

LAZARD FRERES & CO. LLC

BD
CRD#: 2528
NEW YORK, NY
Past

December 14, 2009 - August 10, 2018

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
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
(8/1/2024)
RR
Connecticut
(8/1/2024)
RR
New York
(8/1/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/4/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/12/2018
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 3/7/2011
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/12/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/10/2025
General Securities Principal Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
SEACLIFF ADVISORS LLCSOLE MEMBER OF THE APPLICANT
KAWARABAYASHI, WAYNE ICHIEF OPERATIONS OFFICER AND AML COMPLIANCE OFFICER3149707
MCCLELLAND, WILLIAM CARTERCHAIRMAN & CEO815173
MEYER, MICHAEL WILLIAMCHIEF EXECUTIVE OFFICER2021325
POSTREL, HELENE BERSONFINANCIAL OPERATIONS PRINCIPAL2240945
SMITH, EDWARD RIFEPRESIDENT AND CHIEF COMPLIANCE OFFICER2085236

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 / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
SECERA - Withdrawn4/4/2024

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.

Company Information

UNION SQUARE ADVISORS LLC

CRD#: 141254New York, NY 10019

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