HB
Howard M. Brandes
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CRD#: 1803542
HB
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.
Howard Marshall Brandes, who also goes by Howard Brandes, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1996. Howard had worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Howard Brandes
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.
(1) Name: Apartment Building Investment-related: Yes Address:10670 Wilkins Ave., Los Angeles, CA 90024 Nature: This is a five-unit apartment building built in 1970 by my parents. I inherited it when my mother died in 2004. I lived in one the units with my mother since college graduation and moved when my wife and I bought a house in 2007. Position, title, or relationship: Sole Proprietor Start date:01/01/2005 # of hours/month:0.25 # of hours during securities trading hours:0 Duties: I delegate the apartment management to Sullivan-Dituri, Inc. and have minimal involvement with management, unless for major repairs or City regulatory requirements. (2) NAME: Howard Brandes Trustee David Jonathan Lytell Trust U/A 11/22/88; Investment related; ADDRESS: 10426 Troon Avenue Los Angeles, CA 90064; This is an irrevocable trust for the benefit of David Lytell by my late mother in the 1980's. My nephew David is the beneficiary, there is no other business activity other than a disclosed brokerage account [REDACTED]; Trustee; Start Date: 11/22/88; 0 hours per month; Trustee. This is not an organization. This is a trust. (3) NAME: Sinai Temple; Non-Investment related; ADDRESS: 10400 Wilshire Blvd. Los Angeles, CA 90024; NATURE: Jewish Synagogue. POSITION: Board Member. START DATE: 07/03/2006. NUMBER OF HOURS: 0.5 hours per month; 0.5 hours during securities trading. DUTIES: Provide coordination of meetings and account maintenance. I have NO investment authority. (4) NAME: Sinai Temple Non-Investment related ADDRESS: 10400 Wilshire Blvd. Los Angeles, CA 90024 Nature of OBA: Religious Position/Title/Role: Board Member Start Date: 11/13/18 Time devoted: 0.25 per month; 0 hours during securities trading hours Duties: Chair of the Investment Committee, Member of the Board of Directors
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®
NoneExperience
Past
March 31, 2011 - January 24, 2025
CITY NATIONAL SECURITIES, INC.
RIA
CRD#: 103705
Beverly Hills, CA
Past
April 25, 2000 - January 24, 2025
CITY NATIONAL SECURITIES, INC.
BD
CRD#: 103705
Beverly Hills, CA
Past
March 4, 1996 - February 25, 2000
MOMENTUM INDEPENDENT NETWORK INC.
BD
CRD#: 17587
DALLAS, TX
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".
CN
CITY NATIONAL SECURITIES, INC.
CITY NATIONAL SECURITIES, INC.
CRD#: 103705 / SEC#: 801-71181, 8-52265
RIA
Registered Investment Advisory firm - SEC (3/22/2010 Approved)BD
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.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CN
CITY NATIONAL SECURITIES, INC.
CITY NATIONAL SECURITIES, INC.
CRD#: 103705 / SEC#: 801-71181, 8-52265
RIA
Registered Investment Advisory firm - SEC (3/22/2010 Approved)BD
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
78
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.
