Brian D. Scott

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CRD#: 1657401

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.

Brian Douglas Scott was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1987. Brian had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 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

December 2, 2016 - June 26, 2018

CITY NATIONAL SECURITIES, INC.

RIA

CRD#: 103705

IRVINE, CA

Past

December 2, 2016 - June 26, 2018

CITY NATIONAL SECURITIES, INC.

CRD#: 103705

IRVINE, CA

Past

July 30, 2014 - August 25, 2015

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NEWPORT BEACH, CA

Past

July 30, 2014 - August 25, 2015

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEWPORT BEACH, CA

Past

December 3, 2002 - August 12, 2014

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA

CRD#: 106693

IRVINE, CA

Past

February 28, 2000 - August 12, 2014

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

IRVINE, CA

Past

August 25, 1993 - February 2, 1999

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

May 12, 1987 - February 22, 1988

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Past

April 29, 1987 - May 8, 1987

GLOBALVEST SECURITIES, (USA), INC

CRD#: 15458

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: 12/30/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/7/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/26/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/23/1993

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 7/20/1987

National Commodity Futures Examination

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

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.

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Firm Stability Insights

Brian D. Scott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITY NATIONAL SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

GOLDMAN SACHS WEALTH SERVICES, L.P.

MERCER ALLIED COMPANY, L.P.

FSC SECURITIES CORPORATION

KIDDER, PEABODY & CO. INCORPORATED

GLOBALVEST SECURITIES, (USA), INC

Primary Firm SEC Registration

CITY NATIONAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/30/1997

Series 63

Date: 9/7/1993

SIE

Date: 6/26/2018

Series 7

Date: 8/23/1993

Series 3

Date: 7/20/1987

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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