IO
Ivor P. O'keeffe
CITY NATIONAL SECURITIES
NEW YORK, NY 10022
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CRD#: 2397120
IO
Professional summary
Ivor Patrick O'keeffe, who also goes by IVor Patrick Okeeffe, is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in New York, New York.
Ivor is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Ivor has worked at 4 firms and has passed the Series 65, Series 63, Series 52TO, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ivor Patrick Okeeffe
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 NAME OF THE OTHER BUSINESS, FINRA
WHETHER THE BUSINESS IS INVESTMENT-RELATED, YES
THE ADDRESS OF THE OTHER BUSINESS, ONE LIBERTY PLAZA, 165 BROADWAY, 27TH FLOOR NY, NY 10006
THE NATURE OF THE OTHER BUSINESS, INDUSTRY RELATED
YOUR POSITION, TITLE, OR RELATIONSHIP WITH THE OTHER BUSINESS, NON-PUBLIC ARBITRATOR
THE START DATE OF YOUR RELATIONSHIP, 04/2015
THE APPROXIMATE NUMBER OF HOURS/MONTH YOU DEVOTE TO THE OTHER BUSINESS, 2-3 DAYS/YEAR
THE NUMBER OF HOURS YOU DEVOTE TO THE OTHER BUSINESS DURING SECURITIES TRADING HOURS, NONE
BRIEFLY DESCRIBE YOUR DUTIES RELATING TO THE OTHER BUSINESS, SERVE ON A FINRA ARBITRATION AND MEDIATION PANEL OF IMPARTIAL INDIVIDUALS COMMITTED TO RENDERING A FAIR AND IMPARTIAL DECISION ON CASES PRESENTED
CRS (Client Relationship Summary) - RIA
Click below to view Ivor Patrick O'keeffe's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ivor Patrick O'keeffe's 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®
NoneExperience
Current
September 16, 2024 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 400 Park Avenue 8th Floor, New York, NY, 10022RIA
BD
CRD#: 103705
NEW YORK, NY
Current
August 28, 2024 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 400 Park Avenue 8th Floor, New York, NY, 10022RIA
BD
CRD#: 103705
NEW YORK, NY
Past
October 10, 2003 - July 19, 2024
FLAGSTAR ADVISORS
RIA
CRD#: 104233
New York, NY
Past
December 20, 2000 - July 19, 2024
FLAGSTAR ADVISORS
BD
CRD#: 104233
New York, NY
Past
July 21, 1999 - July 14, 2000
REPUBLIC FINANCIAL SERVICES CORPORATION
BD
CRD#: 38293
NEW YORK, NY
Past
June 16, 1994 - July 28, 1999
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, 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".
CN
CITY NATIONAL SECURITIES, INC.
CITY NATIONAL SECURITIES, INC.
CRD#: 103705 / SEC#: 801-71181, 8-52265
RIA
Registered Investment Advisory firm - SEC (3/22/2010 Approved)BD
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(5/1/2025)
IAR
California(5/15/2025)
RR
New Jersey(4/3/2025)
IAR
New Jersey(4/4/2025)
RR
New York(8/28/2024)
IAR
New York(9/16/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 8/28/2024
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 8/4/2005
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CN
CITY NATIONAL SECURITIES, INC.
CITY NATIONAL SECURITIES, INC.
CRD#: 103705 / SEC#: 801-71181, 8-52265
RIA
Registered Investment Advisory firm - SEC (3/22/2010 Approved)BD
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
78
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.
