Konstantin S. Prives

CITY NATIONAL SECURITIES

NEW YORK, NY 10022

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CRD#: 2581509

Professional summary

Konstantin Solomon Prives, who also goes by Konstantin Prives, Stan Prives, is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in New York, New York.

Konstantin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Konstantin has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Konstantin Prives | Stan Prives

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) - RIA

Click below to view Konstantin Solomon Prives's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Konstantin Solomon Prives'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

March 3, 2026 - Present

CITY NATIONAL SECURITIES, INC.

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

RIA

CRD#: 103705

NEW YORK, NY

Current

March 3, 2026 - Present

CITY NATIONAL SECURITIES, INC.

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

RIA

CRD#: 103705

NEW YORK, NY

Past

March 31, 2011 - March 4, 2026

FLAGSTAR ADVISORS

RIA

CRD#: 104233

New York, NY

Past

March 24, 2011 - March 4, 2026

FLAGSTAR ADVISORS

CRD#: 104233

New York, NY

Past

July 27, 2006 - February 10, 2011

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

NEW YORK, NY

Past

April 20, 2006 - February 10, 2011

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK, NY

Past

October 27, 1997 - April 4, 2006

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

NEW YORK, NY

Past

September 18, 1996 - April 4, 2006

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

April 20, 1995 - September 18, 1996

CHEMICAL INVESTMENT SERVICES CORP.

CRD#: 36312

Past

February 1, 1995 - April 24, 1995

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

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.

CITY NATIONAL SECURITIES, INC. | RBC 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(3/3/2026)

Connecticut
(3/3/2026)

Florida
(3/3/2026)

Georgia
(3/3/2026)

New Jersey
(3/3/2026)

New York
(3/3/2026)

IAR

New York
(3/4/2026)

Pennsylvania
(3/3/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/14/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/28/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/25/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 7/25/2006

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 6/13/2006

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 26

Date: 5/28/1999

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

CITY NATIONAL SECURITIES, INC.

CITY NATIONAL SECURITIES, INC. | RBC 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

186

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

RBC SECURITIES ASSET ALLOCATION PROGRAM BROCHURE (1/29/2026)

RBC SECURITIES INVESTMENT ADVISORY PROGRAM BROCHURE (1/29/2026)

Direct owners and executive officers

Name	Position	CRD#
CITY NATIONAL BANK	SOLE SHAREHOLDER
BANUELOS, ALMA DELIA	BOARD DIRECTOR	4530705
BARTON, RICHARD JOSEPH	CHIEF COMPLIANCE OFFICER	2040869
BRETADO, SANTIAGO AVILA	VP & CHIEF FINANCIAL OFFICER	1945627
DANIEL, JOBY SWANKUTTY	BOARD DIRECTOR	6616727
GIAQUINTO, GREGG	BOARD DIRECTOR	3182583
MAGUIRE, WILLIAM JOHN JR	PRESIDENT & CHIEF EXECUTIVE OFFICER	2040885
O'KEEFFE, IVOR PATRICK	CHIEF OPERATING OFFICER & BOARD DIRECTOR	2397120
RILEY, SHAWN DAVID	BOARD DIRECTOR	7574191

Regulatory assets under management

Total Number of Accounts	1,781
AUM (Assets Under Management)	$ 1,515,102,638

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

Konstantin S. Prives

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Konstantin Solomon Prives's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Konstantin Solomon Prives's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITY NATIONAL SECURITIES, INC.

FLAGSTAR ADVISORS

FLAGSTAR ADVISORS

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

CHEMICAL INVESTMENT SERVICES CORP.

COMMONWEALTH FINANCIAL NETWORK

Primary Firm SEC Registration

CITY NATIONAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/14/1997

Series 63

Date: 1/28/1995

SIE

Date: 10/1/2018

Series 7

Date: 1/25/1995

Series 9

Date: 7/25/2006

Series 10

Date: 6/13/2006

Series 26

Date: 5/28/1999

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.

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