Julianne M. Fries
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.
Julianne Marie Fries was a registered financial professional .
Julianne is a previously registered financial professional and started their career in finance in 1987. Julianne had worked at 8 firms and has passed the SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2019 - February 21, 2023
CNR SECURITIES, LLC
June 20, 2012 - February 21, 2023
CITY NATIONAL SECURITIES, INC.
November 13, 2009 - May 19, 2010
LEVEL FOUR FINANCIAL, LLC
October 23, 1998 - December 5, 2007
COUNTRYWIDE SECURITIES CORPORATION
July 9, 1996 - November 7, 1997
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
November 8, 1994 - June 5, 1996
CETERA WEALTH SERVICES, LLC
May 21, 1991 - December 9, 1992
BA INVESTMENT SERVICES, INC.
April 10, 1989 - June 6, 1989
CETERA WEALTH SERVICES, LLC
September 22, 1987 - April 10, 1989
AMERICAN PACIFIC SECURITIES CORPORATION
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
Current Firm
CNR SECURITIES, LLC
CRD#: 18466 / SEC#: , 8-36759
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITY NATIONAL ROCHDALE HOLDINGS, LLC | MANAGING MEMBER / 100% OWNER | |
| BANUELOS, ALMA DELIA | BOARD DIRECTOR | 4530705 |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 |
| CEPLER, MITCHELL DANIEL | CFO AND FINOP | 4554270 |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 |
| GIAQUINTO, GREGG | PRESIDENT, CEO, & BOARD DIRECTOR | 3182583 |
| O'KEEFFE, IVOR PATRICK | BOARD DIRECTOR | 2397120 |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 8157413 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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