Amy B. Gilbert

CITY NATIONAL SECURITIES

Phoenix, AZ 85020

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CRD#: 2605444

Professional summary

Amy B Gilbert, who also goes by Amy Barbara Gilbert, is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in Phoenix, Arizona.

Amy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Amy has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Amy Barbara Gilbert

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.

Start Date = 02-07-19| Rental Property| Landlord| Chandler, AZ| Hours/Month = Less than 20| Daughter and two girlfriends live in the house and pay rent. My husband and I get involved in large ticket items that include renovations and major maintenance items. Our daughter takes care of regular maintenance and emergency items

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy B Gilbert's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Amy B Gilbert'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 17, 2024 - Present

CITY NATIONAL SECURITIES, INC.

Office #1: 7878 North 16th Street, Phoenix, AZ 85020

RIA

CRD#: 103705

Phoenix, AZ

Current

December 19, 2024 - Present

CITY NATIONAL SECURITIES, INC.

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

RIA

CRD#: 103705

NEW YORK, NY

Past

January 11, 2022 - March 4, 2023

HIGHTOWER ADVISORS, LLC

RIA

CRD#: 145323

CHICAGO, IL

Past

January 10, 2022 - March 4, 2023

HIGHTOWER SECURITIES, LLC

CRD#: 116681

CHICAGO, IL

Past

February 19, 2019 - December 19, 2021

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Phoenix, AZ

Past

February 15, 2019 - December 19, 2021

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Phoenix, AZ

Past

July 13, 2018 - January 30, 2019

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BOSTON, MA

Past

July 9, 2001 - March 28, 2007

FIDELITY PERSONAL TRUST COMPANY, FSB

RIA

CRD#: 109516

LOS ANGELES, CA

Past

January 5, 1998 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

MERRIMACK, NH

Past

April 24, 1995 - January 24, 2019

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

MERRIMACK, NH

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.

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

IAR

Arizona
(12/17/2024)

Arizona
(12/23/2024)

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: 12/2/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/26/1995

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: 4/21/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 10/23/2007

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/4/2007

General Securities Sales Supervisor - Options Module 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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Firm Stability Insights

Amy B. Gilbert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy B Gilbert's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Amy B Gilbert's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITY NATIONAL SECURITIES, INC.

HIGHTOWER ADVISORS, LLC

HIGHTOWER SECURITIES, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY PERSONAL TRUST COMPANY, FSB

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

CITY NATIONAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/2/1997

Series 63

Date: 5/26/1995

SIE

Date: 10/1/2018

Series 7

Date: 4/21/1995

Series 10

Date: 10/23/2007

Series 9

Date: 10/4/2007

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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