David J. Ohanian
Professional summary
David Jay Ohanian, who also goes by David J Ohanian, David Jay Ohanian, David Ohanian, is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in San Diego, California.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. David has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David Jay Ohanian's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Jay Ohanian's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 5, 2017 - Present
CITY NATIONAL SECURITIES, INC.
Office #2: 400 N. Roxbury Dr. 2nd Floor, Beverly Hills, CA 90210Office #3: 18111 Von Karman Ave. 4th Floor, Irvine, CA 92612December 5, 2017 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 400 N. Roxbury Dr. 2nd Floor, Beverly Hills, CA 90210Office #2: 18111 Von Karman Ave. 4th Floor, Irvine, CA 92612December 3, 2013 - November 28, 2017
U.S. BANCORP ADVISORS, LLC
December 3, 2013 - November 28, 2017
U.S. BANCORP ADVISORS, LLC
October 15, 2009 - November 6, 2013
COMERICA SECURITIES
October 15, 2009 - November 6, 2013
COMERICA SECURITIES
June 3, 2008 - August 11, 2009
WELLS FARGO CLEARING SERVICES, LLC
June 3, 2008 - August 11, 2009
WELLS FARGO CLEARING SERVICES, LLC
July 12, 2002 - February 22, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 12, 2002 - February 22, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 25, 1999 - July 8, 2002
MORGAN STANLEY DW INC.
January 13, 1999 - July 8, 2002
MORGAN STANLEY DW INC.
May 8, 1996 - December 23, 1998
CITIGROUP GLOBAL MARKETS 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
(12/5/2017)
(12/5/2017)
Exams
Series 8
Date: 4/28/1999
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
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 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 | 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.
