MP
Margarita Perez
CITY NATIONAL SECURITIES
Long Beach, CA 90802-4347
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CRD#: 1816434
MP
Professional summary
Margarita Perez is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in Long Beach, California.
Margarita is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Margarita has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. NAME OF OTHER BUSINESS: HIPCOOKS INVESTMENT RELATED: NO ADDRESS: 125 N BROADWAY, SANTA ANA, CA 92701 NATURE OF BUSINESS: COOKING SCHOOL START DATE: 10/2016 POSITION/TITLE/RELATIONSHIP: ASSISTANT CHEF APX NUMBER OF HOURS PER WEEK: 3, NOT DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: ASSIST CHEF WITH PREP PRIOR TO AND DURING CLASS 2) the name of the other business; FINRA whether the business is investment-related; YES the address of the other business; 200 Liberty St. New York, NY 10281-1003 the nature of the other business; REGULATORY AUTHORITY your position; NON PUBLIC ARBITRATOR title, or relationship with the other business; OTHER the start date of your relationship; 10/04/2021 the approximate number of hours/month you devote to the other business; 16 the number of hours you devote to the other business during securities trading hours; 16 and briefly describe your duties relating to the other business; TO SERVE ON A PANEL AS A NON-PUBLIV ARBITRATOR TO ASSIST IN SETTING ARBITRATIONS.
CRS (Client Relationship Summary) - RIA
Click below to view Margarita Perez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Margarita Perez's 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®
NoneExperience
Current
July 26, 2017 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 100 Oceangate 10th Fl, Long Beach, CA 90802-4347RIA
BD
CRD#: 103705
Long Beach, CA
Current
July 26, 2017 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 400 Park Avenue 8th Floor, New York, NY, 10022RIA
BD
CRD#: 103705
NEW YORK, NY
Past
February 28, 2007 - July 26, 2017
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
October 29, 2004 - January 30, 2007
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
Past
October 29, 2004 - January 30, 2007
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
October 29, 2004 - January 30, 2007
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
October 3, 2001 - July 26, 2017
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
June 13, 1999 - August 6, 2001
KA ASSOCIATES, LLC
BD
CRD#: 32029
LOS ANGELES, CA
Past
September 17, 1998 - April 27, 1999
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
June 20, 1989 - June 30, 1998
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(7/26/2017)
IAR
California(7/26/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/19/1998
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
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.
