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Aldi Collaku

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CRD#: 5679658
AC

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.

Aldi Collaku was a registered financial professional .

Aldi is a previously registered financial professional and started their career in finance in 2010. Aldi had worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

April 8, 2022 - January 18, 2023

UNION SQUARE ADVISORS LLC

BD
CRD#: 141254
NEW YORK, NY
Past

August 13, 2021 - July 21, 2022

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

June 15, 2010 - February 16, 2011

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
FOREST HILLS, 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
RR
Series 63
Date: 8/18/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/13/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/27/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 6/14/2010
Investment Company Products/Variable Contracts Representative Examination

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#: 141254

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