Santiago A. Bretado
Professional summary
Santiago Avila Bretado, who also goes by Jim Bretado, Santiago A Bretado, is a registered financial professional currently at CITY NATIONAL SECURITIES, INC. located in Los Angeles, California.
Santiago is registered as a RR (Registered Representative) and started their career in finance in 1989. Santiago has worked at 15 firms and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Santiago Avila Bretado's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 30, 2018 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 555 South Flower Street 11th Floor, Los Angeles, CA 90071January 21, 2016 - December 19, 2016
INVESTORS CAPITAL CORP.
January 21, 2016 - December 31, 2016
LEGEND EQUITIES CORPORATION
January 21, 2016 - January 9, 2017
VSR FINANCIAL SERVICES, INC.
January 21, 2016 - November 1, 2017
GIRARD SECURITIES, INC.
January 21, 2016 - October 16, 2018
SUMMIT BROKERAGE SERVICES, INC.
January 21, 2016 - October 16, 2018
FIRST ALLIED SECURITIES, INC.
January 21, 2016 - October 16, 2018
CETERA INVESTMENT SERVICES LLC
January 21, 2016 - October 16, 2018
CETERA FINANCIAL SPECIALISTS LLC
January 21, 2016 - October 16, 2018
CETERA ADVISORS LLC
January 21, 2016 - October 16, 2018
CETERA WEALTH SERVICES, LLC
December 14, 2009 - February 7, 2014
BANC OF MANHATTAN CAPITAL
October 17, 1996 - October 29, 2008
COUNTRYWIDE SECURITIES CORPORATION
February 23, 1994 - June 13, 1996
CANTOR FITZGERALD & CO.
May 11, 1989 - January 7, 1994
BA INVESTMENT SERVICES, 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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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 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
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