Swetha Balasubramanian

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CRD#: 5573677

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.

Swetha Balasubramanian was a registered financial professional .

Swetha is a previously registered financial professional and started their career in finance in 2008. Swetha had worked at 3 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 31, 2011 - December 14, 2012

UNION SQUARE ADVISORS LLC

CRD#: 141254

SAN FRANCISCO, CA

Past

November 1, 2010 - December 1, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 3, 2008 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 11/25/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/2/2008

General Securities Representative Examination

Current Firm

UNION SQUARE ADVISORS LLC

SEACLIFF GROUP LLC | UNION SQUARE ADVISORS LLC

CRD#: 141254 / SEC#: 802-119325, 8-67371

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

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

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Swetha Balasubramanian

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UNION SQUARE ADVISORS LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/25/2008

Series 7

Date: 9/2/2008

Current Firm

UNION SQUARE ADVISORS LLC

Contact information

FINRA licenses (22 States and Territories)

Documents

Direct owners and executive officers

Exempt reporting advisers

Red Flags

Company Information

UNION SQUARE ADVISORS LLC

TRUST BUT VERIFY

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