Moroni M. Burchell
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.
Moroni Moriancumer Burchell, who also goes by Mark Burchell, was a registered financial professional .
Moroni is a previously registered financial professional and started their career in finance in 1994. Moroni had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 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 - November 5, 2019
CITY NATIONAL SECURITIES, INC.
June 14, 2013 - November 5, 2019
CITY NATIONAL SECURITIES, INC.
January 30, 2008 - April 26, 2011
MML INVESTORS SERVICES, LLC
February 21, 2007 - April 26, 2011
MML INVESTORS SERVICES, LLC
August 14, 2000 - May 15, 2001
NATIONAL PLANNING CORPORATION
January 30, 1998 - October 22, 1998
PARAGON CAPITAL MARKETS, INC.
September 5, 1995 - January 12, 1998
AUGMENT SECURITIES INC.
November 15, 1994 - September 6, 1995
A.S. GOLDMEN & CO., INC.
September 8, 1994 - November 30, 1994
BEACON SECURITIES, INC.
August 23, 1994 - September 7, 1994
HANOVER, STERLING & COMPANY LTD.
February 23, 1994 - August 2, 1994
A. R. BARON & 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
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.
