Stephen M. Sherline
Professional summary
Stephen Maxwell Sherline, CFP® is a registered financial professional currently at CITY NATIONAL SECURITIES, INC. located in Los Angeles, California.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1992. Stephen has worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 31, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Maxwell Sherline's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2001
Experience
August 7, 2025 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 555 South Flower Street 11th Floor, Los Angeles, CA 90071May 14, 2024 - August 6, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
October 25, 2011 - March 20, 2014
U.S. BANCORP ADVISORS, LLC
July 11, 2007 - August 12, 2011
FIFTH THIRD SECURITIES, INC.
November 16, 2005 - July 5, 2007
FIFTH THIRD SECURITIES, INC.
August 6, 2002 - August 12, 2011
FIFTH THIRD SECURITIES, INC.
March 16, 2001 - August 9, 2002
A. G. EDWARDS & SONS, INC.
July 31, 1993 - March 12, 2001
CITIGROUP GLOBAL MARKETS INC.
July 20, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
February 24, 1992 - July 28, 1993
HIBBARD BROWN & CO., 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 7TO
Date: 5/14/2024
General Securities Representative 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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