Eric Valdiviez

CITY NATIONAL SECURITIES

NEW YORK, NY 10022

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CRD#: 1568677

Professional summary

Eric Valdiviez is a registered financial professional currently at CITY NATIONAL SECURITIES, INC. located in New York, New York.

Eric is registered as a RR (Registered Representative) and started their career in finance in 1988. Eric has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52, Series 53, Series 24 and Series 27 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) - BD

Click below to view Eric Valdiviez'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

December 19, 2011 - Present

CITY NATIONAL SECURITIES, INC.

Office #1: 400 Park Avenue 8th Floor, New York, NY, 10022

RIA

CRD#: 103705

NEW YORK, NY

Past

July 5, 2005 - June 13, 2007

AFAM CAPITAL, INC.

RIA

CRD#: 108517

LAGUNA BEACH, CA

Past

January 21, 2005 - April 27, 2007

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

October 21, 2002 - March 24, 2004

COMERICA SECURITIES

RIA

CRD#: 17079

LOS ANGELES, CA

Past

May 9, 2001 - March 24, 2004

COMERICA SECURITIES

CRD#: 17079

DETROIT, MI

Past

August 25, 2000 - July 31, 2001

IMPERIAL SECURITIES CORPORATION

CRD#: 30908

INGLEWOOD, CA

Past

February 25, 1988 - January 4, 1995

DB ALEX. BROWN LLC

CRD#: 17790

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CITY NATIONAL SECURITIES, INC.

CRD#: 103705 / SEC#: 801-71181, 8-52265

RIA

Registered Investment Advisory firm - SEC (3/22/2010 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/24/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/5/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/5/2000

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 11/19/1986

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 6/18/2001

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/14/2000

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 8/15/2000

Financial and Operations Principal Examination

SRO Registrations

FINRA

Current Firm

CITY NATIONAL SECURITIES, INC.

CRD#: 103705 / SEC#: 801-71181, 8-52265

RIA

Registered Investment Advisory firm - SEC (3/22/2010 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

555 South Flower Street 11th Floor, Los Angeles, CA 90071

Mailing Address

555 South Flower Street 11th Floor, Los Angeles, CA 90071

Phone number

(310) 888-6400

Established

California since 11/03/1999

Firm type

Corporation

Fiscal year end

October

Firm Size

Medium

# of Employees

SEC notice filing (31 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CNS ASSET ALLOCATION PROGRAM BROCHURE (4/24/2025)

CNS INVESTMENT ADVISORY PROGRAM BROCHURE (4/24/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2025	Cover Page	Report
10/27/2023	Cover Page	Report

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Eric Valdiviez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eric Valdiviez's CRS (Customer Relationship Summary).

Certified licenses

Experience

AFAM CAPITAL, INC.

QUASAR DISTRIBUTORS, LLC

COMERICA SECURITIES

COMERICA SECURITIES

IMPERIAL SECURITIES CORPORATION

DB ALEX. BROWN LLC

Primary Firm SEC Registration

CITY NATIONAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/24/2001

Series 63

Date: 1/5/2001

SIE

Date: 10/1/2018

Series 7

Date: 12/5/2000

Series 52

Date: 11/19/1986

Series 53

Date: 6/18/2001

Series 24

Date: 12/14/2000

Series 27

Date: 8/15/2000

FINRA

Current Firm

CITY NATIONAL SECURITIES, INC.

Contact information

SEC notice filing (31 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

CITY NATIONAL SECURITIES, INC.

TRUST BUT VERIFY

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