Andrea Scalisi
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.
Andrea Scalisi, who also goes by Andrea Yvonne Becker, Andrea Becker, was a registered financial professional .
Andrea is a previously registered financial professional and started their career in finance in 1991. Andrea had worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2014 - February 5, 2020
CITY NATIONAL SECURITIES, INC.
August 1, 2011 - February 5, 2020
CITY NATIONAL SECURITIES, INC.
October 23, 2009 - July 25, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - July 25, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 11, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 3, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 5, 2006 - March 4, 2008
UST SECURITIES CORP.
June 14, 1994 - March 23, 2006
CITICORP INVESTMENT SERVICES
October 28, 1991 - June 8, 1994
DAVID LERNER ASSOCIATES, 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
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 DIRECTOR | 4530705 |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 |
| BRETADO, SANTIAGO AVILA | VP & CHIEF FINANCIAL OFFICER | 1945627 |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 |
| GIAQUINTO, GREGG | BOARD DIRECTOR | 3182583 |
| MAGUIRE, WILLIAM JOHN JR | PRESIDENT & CHIEF EXECUTIVE OFFICER | 2040885 |
| O'KEEFFE, IVOR PATRICK | CHIEF OPERATING OFFICER & BOARD DIRECTOR | 2397120 |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 7574191 |
Regulatory assets under management
| Total Number of Accounts | 1,781 |
| AUM (Assets Under Management) | $ 1,515,102,638 |
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.
