CITY NATIONAL SECURITIES, INC.
Adviser information for CITY NATIONAL SECURITIES, INC. last updated from Form ADV on March 22nd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | OCTOBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 47 |
|---|---|
| Investment Advisory/Research | 47 |
| Registered Broker-Dealer Representatives | 47 |
| Registered State Investment Advisers | 47 |
| Licensed Agents of an Insurance Company | 18 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,126 | $1.5B |
| Non-Discretionary | 0 | $0 |
| Total | 2,126 | $1.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,241 | $461.0M |
| HNW Individuals | 303 | $687.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 55 | $71.4M |
| Charitable organizations | 20 | $33.8M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 102 | $236.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 1000 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMMUTUAL FUND FEES, BROKER FEES & TRANSACTION FEES |
| Other Business Activities | Broker-dealer |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 1.5B |
| Portfolio Manager | 0 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| CITY NATIONAL SECURITIES WRAP FEE PROGRAM | CITY NATIONAL SECURITIES |
Identifiers
| SEC RIA File Number | 801-71181 |
|---|---|
| SEC ERA File Number | 801-71181 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 103705 |
| Legal Entity Identifier | None |
Principal Office
555 SOUTH FLOWER STREET11TH FLOOR
LOS ANGELES
CA
United States
Monday - Friday, 6:30 TO 5:00 PST
Tel: 310-888-6400, Fax: 310-888-6388
Websites
Chief Compliance Officer
ROCHELLE LEVY
WM INVESTMENT ADVISER CCO
400 PARK AVENUE SOUTH
3RD FLOOR
NEW YORK
NY
United States
Tel:
(212) 702-3500
R************@******M
(Full email address available in API data)
Regulatory Contact
MICHAEL NUNNELEE
PRESIDENT/CHAIRMAN
555 SOUTH FLOWER ST.
11TH FLOOR
LOS ANGELES
CA
United States
Tel:
(213) 218-4282
Fax:
(310) 888-6388
M***************@******M
(Full email address available in API data)
Industry Affiliates
| CITY NATIONAL BANK | Banking or thrift institution |
| CITY NATIONAL ROCHDALE | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorBanking or thrift institutionInsurance company or agencySponsor, GP, manager of pooled investment vehicles |
| RBC USA HOLDCO | Banking or thrift institution |
| ROYAL BANK OF CANADA | Banking or thrift institution |
| SYMPHONIC FINANCIAL ADVISORS LLC | Other investment adviser, including financial planners |
| SYMPHONIC INSURANCE LLC | Insurance company or agency |
| SYMPHONIC SECURITIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NUNNELEE, MICHAEL JOSEPH | Individual | – | PRESIDENT/CHAIRMAN | 07/2001 | < 5% |
| CITY NATIONAL BANK | Domestic Entity | – | SOLE SHAREHOLDER | 11/1999 | > 75% |
| TERRELL, DAVID MATTHEW | Individual | – | SR. VICE PRESIDENT | 03/2017 | < 5% |
| FRANCOEUR, GREGORY PAUL | Individual | – | DIRECTOR | 06/2010 | < 5% |
| RBC USA HOLDCO CORPORATION | Domestic Entity | CITY NATIONAL BANK | OWNER | 11/2015 | > 75% |
| ROYAL BANK OF CANADA | Foreign Entity | RBC US GROUP HOLDINGS, LLC | ULTIMATE OWNER | 06/2018 | > 75% |
| RBC US GROUP HOLDINGS, LLC | Domestic Entity | RBC USA HOLDCO CORPORATION | DIRECT OWNER | 06/2018 | > 75% |
| BRETADO, SANTIAGO AVILA | Individual | – | VP, CFO | 02/2019 | < 5% |
| FRIES, JULIANNE MARIE | Individual | – | SVP, CHIEF RISK OFFICER, WEALTH MAANGEMENT | 09/2018 | < 5% |
| BARTON, RICHARD JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2022 | < 5% |
| LEVY, ROCHELLE BETH | Individual | – | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISOR | 11/2022 | < 5% |