Stephen A. Collins
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.
Stephen Alexander Collins, who also goes by Stephen Collins, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1994. Stephen had worked at 10 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2018 - October 20, 2021
CITY NATIONAL SECURITIES, INC.
April 19, 2018 - October 20, 2021
CITY NATIONAL SECURITIES, INC.
January 3, 2011 - March 21, 2018
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - March 21, 2018
WELLS FARGO CLEARING SERVICES, LLC
November 19, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
November 18, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
July 20, 2009 - November 19, 2009
WELLS FARGO CLEARING SERVICES, LLC
August 25, 2008 - November 19, 2009
WELLS FARGO CLEARING SERVICES, LLC
August 21, 2007 - June 3, 2008
WELLS FARGO SECURITIES, LLC
June 22, 2004 - July 5, 2007
LEHMAN BROTHERS INC.
August 18, 2003 - June 17, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 11, 1999 - August 20, 2003
BANC OF AMERICA SECURITIES LLC
April 1, 1996 - June 3, 1999
U.S. BANCORP ADVISORS, LLC
April 9, 1994 - April 1, 1996
BANCAL INVESTMENT SERVICES, INC.
January 12, 1994 - April 5, 1994
UNITED DANIELS SECURITIES, INC.
Primary Firm SEC Registration
CITY NATIONAL SECURITIES, INC.
CRD#: 103705 / SEC#: 801-71181, 8-52265
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
CITY NATIONAL SECURITIES, INC.
CRD#: 103705 / SEC#: 801-71181, 8-52265
Contact information
SEC notice filing (31 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITY NATIONAL BANK | SOLE SHAREHOLDER | |
| BANUELOS, ALMA DELIA | BOARD MEMBER | 4530705 |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 |
| BRETADO, SANTIAGO AVILA | VP, CFO | 1945627 |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 |
| GIAQUINTO, GREGG | BOARD DIRECTOR | 3182583 |
| O'KEEFFE, IVOR PATRICK | BOARD DIRECTOR | 2397120 |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 7574191 |
Regulatory assets under management
| Total Number of Accounts | 2,004 |
| AUM (Assets Under Management) | $ 1,591,349,877 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
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.
