VT
Vincent Tropea
CITY NATIONAL SECURITIES
Yorba Linda, CA
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CRD#: 2467447
VT
Professional summary
Vincent Tropea, CFP® is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in Yorba Linda, California.
Vincent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Vincent has worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 53, Series 27, Series 8 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
(1) Name:Tropea Family Trust Investment related: Yes Address:10252 Moth Orchid Ct., Las Vegas, NV 89183; Nature: Single family real estate investment; Position, title, or relationship: Property owner Start date:07/01/2016 # of hours/month:0 # of hours during securities trading hours:0 Duties: Landlord (2)TROPEA FAMILY TRUST Investment Related ADDRESS: 977 PLANTAIN AVE Start Date: 02/15/18 Nature of Business: SINGLE FAMILY REAL ESTATE INVESTMENT Hours devoted: 0 Hours during securities trading hours: 0 Duties: LANDLORD (3) Name of Entity: The Tropea Family Trust; Non-investment related; Address: 3858 Welsh Pony Lane Yorba Linda, Ca 92886; Nature of OBA: Real Estate Investment; Position/Title/Relationship: Sole Proprietor; Start Date: 05/11/2016; Time devoted: 1 hours per month; 0 during securities trading hours Duties: Landlord.
CRS (Client Relationship Summary) - RIA
Click below to view Vincent Tropea's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Vincent Tropea'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®
Experience
Current
April 15, 2010 - Present
CITY NATIONAL SECURITIES, INC.
Office #2: 550 North Brand Blvd. 1st Floor, Glendale, CA 91203RIA
BD
CRD#: 103705
Yorba Linda, CA
Current
April 15, 2010 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 550 North Brand Blvd. 1st Floor, Glendale, CA 91203RIA
BD
CRD#: 103705
GLENDALE, CA
Past
May 2, 2009 - April 8, 2010
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
HOLLYWOOD, CA
Past
May 2, 2009 - April 8, 2010
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
HOLLYWOOD, CA
Past
February 17, 2006 - May 2, 2009
WAMU INVESTMENTS, INC.
RIA
CRD#: 599
LOS ANGELES, CA
Past
November 25, 2003 - May 2, 2009
WAMU INVESTMENTS, INC.
BD
CRD#: 599
LOS ANGELES, CA
Past
June 22, 2000 - December 1, 2003
NEWPOINT SECURITIES, LLC
BD
CRD#: 101920
BEVERLY HILLS, CA
Past
September 9, 1997 - July 26, 2000
HUNTER WORLD MARKETS, INC.
BD
CRD#: 38755
BEVERLY HILLS, CA
Past
December 16, 1996 - May 8, 1997
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
BD
CRD#: 18032
NEW YORK, NY
Past
June 30, 1994 - December 4, 1996
NATIONAL CLEARING CORP.
BD
CRD#: 14343
SHERMAN OAKS, CA
Past
April 15, 1994 - June 13, 1994
REYNOLDS KENDRICK STRATTON, INC.
BD
CRD#: 10414
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
Alabama(7/29/2025)
RR
Alaska(7/29/2025)
RR
Arizona(8/28/2012)
RR
Arkansas(7/29/2025)
RR
California(4/15/2010)
IAR
California(4/15/2010)
RR
Colorado(1/2/2013)
RR
Connecticut(10/31/2017)
RR
Delaware(7/29/2025)
RR
District of Columbia(7/29/2025)
RR
Florida(4/8/2022)
RR
Georgia(5/6/2022)
RR
Hawaii(3/26/2024)
RR
Idaho(5/19/2022)
RR
Illinois(11/30/2015)
RR
Indiana(7/29/2025)
RR
Iowa(7/29/2025)
RR
Kansas(7/29/2025)
RR
Kentucky(7/29/2025)
RR
Louisiana(7/29/2025)
RR
Maine(7/29/2025)
RR
Maryland(3/4/2024)
RR
Massachusetts(7/29/2025)
RR
Michigan(7/29/2025)
RR
Minnesota(7/29/2025)
RR
Mississippi(7/29/2025)
RR
Missouri(7/29/2025)
RR
Montana(3/2/2011)
RR
Nebraska(7/29/2025)
RR
Nevada(8/10/2018)
IAR
Nevada(8/9/2024)
RR
New Hampshire(7/29/2025)
RR
New Jersey(7/7/2025)
RR
New Mexico(7/29/2025)
RR
New York(3/4/2011)
RR
North Carolina(7/29/2025)
RR
North Dakota(7/29/2025)
RR
Ohio(8/13/2018)
RR
Oklahoma(7/29/2025)
RR
Oregon(3/2/2011)
RR
Pennsylvania(11/18/2019)
RR
Rhode Island(7/29/2025)
RR
South Carolina(7/29/2025)
RR
South Dakota(7/29/2025)
RR
Tennessee(3/7/2023)
RR
Texas(9/26/2018)
RR
Utah(3/26/2024)
RR
Vermont(7/29/2025)
RR
Virginia(2/25/2025)
RR
Washington(5/6/2022)
IAR
Washington(11/25/2024)
RR
West Virginia(7/29/2025)
RR
Wisconsin(7/29/2025)
RR
Wyoming(7/29/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/6/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 1/31/1997
General Securities Sales Supervisor Examination (Options Module & General Module)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.
