Boris L. Gluzberg
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.
Boris Leonid Gluzberg, who also goes by Boris L Gluzberg, Boris Gluzberg, was a registered financial professional .
Boris is a previously registered financial professional and started their career in finance in 1993. Boris had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 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
July 8, 2011 - August 5, 2015
CITY NATIONAL SECURITIES, INC.
October 23, 2008 - June 6, 2011
WELLS FARGO CLEARING SERVICES, LLC
March 3, 2005 - September 5, 2007
BNY INVESTMENT CENTER INC.
December 8, 1999 - December 17, 2004
CITICORP INVESTMENT SERVICES
April 7, 1997 - March 16, 1999
CITICORP INVESTMENT SERVICES
October 5, 1995 - March 14, 1997
MORGAN STANLEY DW INC.
January 9, 1995 - October 9, 1995
CITIGROUP GLOBAL MARKETS INC.
February 1, 1993 - September 21, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 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.
