Theresa A. Meltzer
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.
Theresa Austria Meltzer, who also goes by Maria Theresa Austria, Maria Austria, was a registered financial professional .
Theresa is a previously registered financial professional and started their career in finance in 1996. Theresa had worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2011 - April 12, 2021
CITY NATIONAL SECURITIES, INC.
March 16, 2005 - April 12, 2021
CITY NATIONAL SECURITIES, INC.
March 4, 2005 - July 1, 2005
CITY NATIONAL SECURITIES, INC.
June 6, 2002 - March 6, 2003
WELLS FARGO INVESTMENTS, LLC
June 6, 2002 - March 6, 2003
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - October 24, 2001
WELLS FARGO INVESTMENTS, LLC
June 14, 2000 - May 2, 2001
WELLS FARGO SECURITIES INC.
May 7, 1997 - June 14, 1999
BA INVESTMENT SERVICES, INC.
April 22, 1996 - April 25, 1997
MOMENTUM INDEPENDENT NETWORK 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent 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
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.
