DT
David M. Terrell
CITY NATIONAL SECURITIES
Los Angeles, CA 90071
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CRD#: 2664827
DT
Professional summary
David Matthew Terrell is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in Los Angeles, California.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. David has worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view David Matthew Terrell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Matthew Terrell'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®
NoneExperience
Current
March 23, 2017 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 555 South Flower Street 11th Floor, Los Angeles, CA 90071Office #2: 10801 West Charleston Boulevard 2nd Floor, Las Vegas, NV 89135Office #4: 400 Park Avenue 8th Floor, New York, NY, 10022RIA
BD
CRD#: 103705
Los Angeles, CA
Current
March 23, 2017 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 555 South Flower Street 11th Floor, Los Angeles, CA 90071Office #2: 10801 West Charleston Boulevard 2nd Floor, Las Vegas, NV 89135Office #3: 400 Park Avenue 8th Floor, New York, NY, 10022RIA
BD
CRD#: 103705
Los Angeles, CA
Past
April 21, 2022 - May 21, 2024
SYMPHONIC FINANCIAL ADVISORS LLC
RIA
CRD#: 135603
Los Angeles, CA
Past
April 20, 2022 - June 20, 2024
SYMPHONIC SECURITIES LLC
BD
CRD#: 139512
NEW YORK, NY
Past
August 18, 2009 - March 22, 2017
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
CLAREMONT, CA
Past
August 17, 2009 - March 22, 2017
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
CLAREMONT, CA
Past
May 2, 2009 - July 30, 2009
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
LOS ANGELES, CA
Past
May 2, 2009 - July 30, 2009
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
LOS ANGELES, CA
Past
September 23, 2004 - May 2, 2009
WAMU INVESTMENTS, INC.
RIA
CRD#: 599
LOS ANGELES, CA
Past
July 11, 2001 - May 2, 2009
WAMU INVESTMENTS, INC.
BD
CRD#: 599
LOS ANGELES, CA
Past
August 26, 1997 - July 10, 2001
HUNTER WORLD MARKETS, INC.
BD
CRD#: 38755
BEVERLY HILLS, CA
Past
July 22, 1997 - September 15, 1997
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
November 29, 1996 - May 8, 1997
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
BD
CRD#: 18032
NEW YORK, NY
Past
October 25, 1995 - September 7, 1996
NATIONAL CLEARING CORP.
BD
CRD#: 14343
SHERMAN OAKS, CA
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
California(3/23/2017)
IAR
California(3/23/2017)
RR
Massachusetts(7/2/2018)
RR
Nevada(3/29/2017)
IAR
Nevada(4/18/2017)
RR
New York(3/29/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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.
