Jonathan D. Worley
Professional summary
Jonathan David Worley, who also goes by Johnathan David Worley, is a registered financial professional currently at CITY NATIONAL SECURITIES, INC. located in Los Angeles, California.
Jonathan is registered as a RR (Registered Representative) and started their career in finance in 1987. Jonathan has worked at 16 firms and has passed the Series 63, Series 52TO, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jonathan David Worley's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 6, 2010 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 555 South Flower Street 11th Floor, Los Angeles, CA 90071April 23, 2007 - March 31, 2010
E.J. DE LA ROSA & CO., INC.
September 12, 2006 - April 10, 2007
STERNE, AGEE & LEACH, INC.
March 17, 2003 - August 30, 2006
HOEFER & ARNETT, INCORPORATED
December 10, 2001 - September 3, 2002
GILFORD SECURITIES INCORPORATED
August 28, 2001 - November 27, 2001
FIXED INCOME SECURITIES, INC.
June 17, 1998 - March 22, 2001
WEDBUSH SECURITIES INC.
January 1, 1998 - June 3, 1998
INDEPENDENT FINANCIAL GROUP, LLC
October 28, 1997 - December 15, 1997
AISCO TRADING, INC.
August 21, 1997 - December 9, 1997
AMERICAN INVESTMENT SERVICES, INC.
May 28, 1996 - March 14, 1997
SMITH CULVER INVESTMENTS
October 15, 1990 - May 6, 1996
KENNEDY, CABOT & CO.
April 19, 1989 - May 16, 1990
COUNTRYWIDE SECURITIES CORPORATION
February 24, 1989 - March 10, 1989
ALLISON, ROSENBLUM & HANNAHS, INC.
January 6, 1988 - March 8, 1989
FIRST STATE INVESTMENTS, INC.
June 26, 1987 - January 15, 1988
FIRST INVESTMENT 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
(8/6/2010)
(8/31/2022)
(8/23/2022)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/14/2014
Limited Representative-Equity Trader ExamFINRA
Current 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 DIRECTOR | 4530705 |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 |
| BRETADO, SANTIAGO AVILA | VP & CHIEF FINANCIAL OFFICER | 1945627 |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 |
| GIAQUINTO, GREGG | BOARD DIRECTOR | 3182583 |
| MAGUIRE, WILLIAM JOHN JR | PRESIDENT & CHIEF EXECUTIVE OFFICER | 2040885 |
| O'KEEFFE, IVOR PATRICK | CHIEF OPERATING OFFICER & BOARD DIRECTOR | 2397120 |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 7574191 |
Regulatory assets under management
| Total Number of Accounts | 1,781 |
| AUM (Assets Under Management) | $ 1,515,102,638 |
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.
