Joseph C. Giampetroni

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CRD#: 2745663

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joseph C Giampetroni, who also goes by Joseph Charles Giampetroni, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1996. Joseph had worked at 8 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 24 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joseph Charles Giampetroni

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 19, 2021 - November 3, 2023

CITY NATIONAL SECURITIES, INC.

CRD#: 103705

NEW YORK, NY

Past

August 15, 2017 - October 7, 2019

CITIZENS CAPITAL MARKETS

CRD#: 277073

CHICAGO, IL

Past

July 27, 2011 - July 10, 2017

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

CHICAGO, IL

Past

July 1, 2009 - June 29, 2011

WELLS FARGO SECURITIES, LLC

CRD#: 126292

CHICAGO, IL

Past

March 14, 2008 - July 1, 2009

WELLS FARGO SECURITIES, LLC

CRD#: 7665

CHICAGO, IL

Past

November 28, 2005 - June 30, 2006

PDC SECURITIES INCORPORATED

CRD#: 10328

BRIDGEPORT, WV

Past

August 2, 2004 - April 22, 2005

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

July 16, 1996 - August 2, 2004

BANC ONE CAPITAL MARKETS, INC.

CRD#: 23065

CHICAGO, IL

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 12/2/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/15/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/26/2019

General Securities Principal Examination

Principal/Supervisory Exam

Series 39

Date: 5/31/2006

Direct Participation Programs Principal Examination

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

Joseph C. Giampetroni

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITIZENS CAPITAL MARKETS

U.S. BANCORP INVESTMENTS, INC.

WELLS FARGO SECURITIES, LLC

WELLS FARGO SECURITIES, LLC

PDC SECURITIES INCORPORATED

J.P. MORGAN SECURITIES INC.

BANC ONE CAPITAL MARKETS, INC.

Primary Firm SEC Registration

CITY NATIONAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/2/2004

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/15/1996

Series 24

Date: 2/26/2019

Series 39

Date: 5/31/2006

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.

TRUST BUT VERIFY

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