Richard J. Barton

CNR SECURITIES

NEW YORK, NY 10022

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CRD#: 2040869

Professional summary

Richard Joseph Barton is a registered financial professional currently at CNR SECURITIES, LLC located in New York, New York and CITY NATIONAL SECURITIES, INC. located in New York, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Joseph Barton's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 12, 2011 - Present

CNR SECURITIES, LLC

Office #1: 400 Park Avenue 6th Floor, New York, NY 10022

CRD#: 18466

NEW YORK, NY

Current

January 19, 2022 - Present

CITY NATIONAL SECURITIES, INC.

Office #1: 400 Park Avenue 8th Floor, New York, NY, 10022

RIA

CRD#: 103705

NEW YORK, NY

Past

October 8, 2019 - October 29, 2019

CITY NATIONAL SECURITIES, INC.

CRD#: 103705

LOS ANGELES, CA

Past

May 12, 2011 - July 8, 2024

SYMPHONIC SECURITIES LLC

CRD#: 139512

NEW YORK, NY

Past

January 1, 2010 - April 7, 2010

CHELSEA FINANCIAL SERVICES

CRD#: 47770

STATEN ISLAND, NY

Past

October 20, 1995 - September 17, 1996

DEAM INVESTOR SERVICES, INC.

CRD#: 754

NEW YORK, 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".

CITY NATIONAL SECURITIES, INC.

CRD#: 103705 / SEC#: 801-71181, 8-52265

RIA

Registered Investment Advisory firm - SEC (3/22/2010 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/11/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/28/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/19/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 12/16/2011

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CITY NATIONAL SECURITIES, INC.

CRD#: 103705 / SEC#: 801-71181, 8-52265

RIA

Registered Investment Advisory firm - SEC (3/22/2010 Approved)

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

SEC notice filing (31 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CNS ASSET ALLOCATION PROGRAM BROCHURE (4/24/2025)

CNS INVESTMENT ADVISORY PROGRAM BROCHURE (4/24/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2025	Cover Page	Report
10/27/2023	Cover Page	Report

Red Flags

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Richard J. Barton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Joseph Barton's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITY NATIONAL SECURITIES, INC.

CITY NATIONAL SECURITIES, INC.

SYMPHONIC SECURITIES LLC

CHELSEA FINANCIAL SERVICES

DEAM INVESTOR SERVICES, INC.

Primary Firm SEC Registration

CITY NATIONAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/11/1995

SIE

Date: 10/1/2018

Series 7

Date: 12/28/2009

Series 6

Date: 10/19/1995

Series 14

Date: 1/2/2023

Series 24

Date: 12/16/2011

FINRA

Current Firm

CITY NATIONAL SECURITIES, INC.

Contact information

SEC notice filing (31 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

CITY NATIONAL SECURITIES, INC.

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