Brett A. Lane

CITY NATIONAL SECURITIES

NEW YORK, NY 10022

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CRD#: 2436454

Professional summary

Brett Anthony Lane, who also goes by Brett Anthony Lane, Brett Lane, is a registered financial professional currently at CITY NATIONAL SECURITIES, INC. located in New York, New York.

Brett is registered as a RR (Registered Representative) and started their career in finance in 1996. Brett has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brett Anthony Lane | Brett Lane

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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brett Anthony Lane's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 21, 2021 - Present

CITY NATIONAL SECURITIES, INC.

Office #1: 400 Park Avenue 8th Floor, New York, NY, 10022

RIA

CRD#: 103705

NEW YORK, NY

Past

February 14, 2018 - October 5, 2021

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

May 16, 2012 - December 1, 2017

COMMONFUND SECURITIES, INC.

CRD#: 43541

WILTON, CT

Past

July 14, 2007 - March 20, 2012

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

NEW YORK, NY

Past

July 14, 2007 - March 20, 2012

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK, NY

Past

October 12, 2005 - June 21, 2007

MERCANTILE CAPITAL ADVISORS, INC.

RIA

CRD#: 109935

BALTIMORE, MD

Past

March 3, 2005 - May 30, 2007

MERCANTILE BROKERAGE SERVICES, INC.

CRD#: 6784

BALTIMORE, MD

Past

June 1, 2004 - June 11, 2007

IMST DISTRIBUTORS, LLC

CRD#: 130745

BALTIMORE, MD

Past

February 3, 2004 - June 16, 2004

MERCANTILE BROKERAGE SERVICES, INC.

CRD#: 6784

BALTIMORE, MD

Past

December 2, 2002 - February 27, 2004

NEWEDGE SECURITIES, LLC

CRD#: 10674

PITTSBURGH, PA

Past

July 26, 2002 - November 27, 2002

PERSHING LLC

RIA

CRD#: 7560

BALTIMORE, MD

Past

September 25, 2001 - November 27, 2002

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

December 1, 2000 - November 27, 2002

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

March 1, 2000 - January 26, 2001

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

June 18, 1998 - March 20, 2000

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

April 7, 1998 - November 8, 1999

PORTFOLIO BROKERAGE SERVICES, INC.

CRD#: 18554

CHICAGO, IL

Past

May 9, 1996 - March 26, 1997

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

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".

CITY NATIONAL SECURITIES, INC.

CRD#: 103705 / SEC#: 801-71181, 8-52265

RIA

Registered Investment Advisory firm - SEC (3/22/2010 Approved)

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.

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

Alabama
(5/31/2022)

Alaska
(5/31/2022)

Arizona
(5/31/2022)

Arkansas
(5/31/2022)

California
(5/31/2022)

Colorado
(5/31/2022)

Connecticut
(5/31/2022)

Delaware
(5/31/2022)

District of Columbia
(5/31/2022)

Florida
(5/31/2022)

Georgia
(5/31/2022)

Hawaii
(5/31/2022)

Idaho
(5/31/2022)

Illinois
(5/31/2022)

Indiana
(5/31/2022)

Iowa
(5/31/2022)

Kansas
(5/31/2022)

Kentucky
(5/31/2022)

Louisiana
(5/31/2022)

Maine
(5/31/2022)

Maryland
(5/31/2022)

Massachusetts
(5/31/2022)

Michigan
(5/31/2022)

Minnesota
(5/31/2022)

Mississippi
(5/31/2022)

Missouri
(5/31/2022)

Montana
(5/31/2022)

Nebraska
(5/31/2022)

Nevada
(5/31/2022)

New Hampshire
(5/31/2022)

New Jersey
(5/31/2022)

New Mexico
(5/31/2022)

New York
(12/21/2021)

North Carolina
(5/31/2022)

North Dakota
(5/31/2022)

Ohio
(5/31/2022)

Oklahoma
(5/31/2022)

Oregon
(5/31/2022)

Pennsylvania
(5/31/2022)

Rhode Island
(5/31/2022)

South Carolina
(5/31/2022)

South Dakota
(5/31/2022)

Tennessee
(5/31/2022)

Texas
(5/31/2022)

Utah
(5/31/2022)

Vermont
(5/31/2022)

Virginia
(5/31/2022)

Washington
(5/31/2022)

West Virginia
(5/31/2022)

Wisconsin
(5/31/2022)

Wyoming
(5/31/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/23/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/23/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/29/2012

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/3/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/22/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CITY NATIONAL SECURITIES, INC.

CRD#: 103705 / SEC#: 801-71181, 8-52265

RIA

Registered Investment Advisory firm - SEC (3/22/2010 Approved)

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

SEC notice filing (31 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CNS ASSET ALLOCATION PROGRAM BROCHURE (4/24/2025)

CNS INVESTMENT ADVISORY PROGRAM BROCHURE (4/24/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2025	Cover Page	Report
10/27/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Brett A. Lane

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brett Anthony Lane's CRS (Customer Relationship Summary).

Certified licenses

Experience

DEUTSCHE BANK SECURITIES INC.

COMMONFUND SECURITIES, INC.

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

MERCANTILE CAPITAL ADVISORS, INC.

MERCANTILE BROKERAGE SERVICES, INC.

IMST DISTRIBUTORS, LLC

MERCANTILE BROKERAGE SERVICES, INC.

NEWEDGE SECURITIES, LLC

PERSHING LLC

CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

CREDIT SUISSE SECURITIES (USA) LLC

DB ALEX. BROWN LLC

PORTFOLIO BROKERAGE SERVICES, INC.

LEGG MASON WOOD WALKER, INCORPORATED

Primary Firm SEC Registration

CITY NATIONAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/23/2005

Series 63

Date: 5/23/1996

SIE

Date: 10/1/2018

Series 31

Date: 6/29/2012

Series 7

Date: 5/3/1996

Series 24

Date: 2/22/2005

FINRA

Current Firm

CITY NATIONAL SECURITIES, INC.

Contact information

SEC notice filing (31 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

CITY NATIONAL SECURITIES, INC.

TRUST BUT VERIFY

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