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Peyman Salehi

Some features on this profile are disabled
CRD#: 2856153
PS

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.

Peyman Salehi, who also goes by Peyman Salehibakhsh, was a registered financial professional .

Peyman is a previously registered financial professional and started their career in finance in 1998. Peyman had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Peyman Salehibakhsh

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.
Name:Frisco Drive LLC - Jan 2, 2013 Investment-related:No Address:441 N Mansfield Los Angeles CA 90036 Nature:LLC for a single family income prop Position, title, or relationship:Officer Start date:1/2/2013 # of hours/month:0 # of hours during securities trading hours:0 Duties:LLC for a single family income prop (2) NAME: LA Family Housing Non-Investment related; Address: same as original disclosure; Board Member; Nature of Business: Providing shelter and services for homeless in So Cal; Start Date: 04/08/19; 6 hours per month; 0 during securities trading hours; I am on a small committee that over sees the investments for the org. Mostly short term cash management. But the assets are manages by an outside firm and we just oversee their activities. we address directional investment strategy but not trades.

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

March 20, 2015 - July 22, 2022

CITY NATIONAL SECURITIES, INC.

RIA
CRD#: 103705
LOS ANGELES, CA
Past

March 20, 2015 - July 22, 2022

CITY NATIONAL SECURITIES, INC.

BD
CRD#: 103705
LOS ANGELES, CA
Past

October 1, 2008 - May 15, 2012

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
CHICAGO, IL
Past

October 1, 2008 - March 3, 2015

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CHICAGO, IL
Past

February 27, 2008 - October 1, 2008

J.P. MORGAN SECURITIES INC.

RIA
CRD#: 18718
CHICAGO, IL
Past

February 27, 2008 - October 1, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
CHICAGO, IL
Past

May 29, 2007 - December 10, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
LOS ANGELES, CA
Past

May 29, 2007 - December 10, 2007

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
LOS ANGELES, CA
Past

May 22, 2007 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
LOS ANGELES, CA
Past

November 2, 1999 - May 29, 2007

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LOS ANGELES, CA
Past

March 3, 1999 - July 2, 1999

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

November 14, 1998 - March 11, 1999

CAL FED INVESTMENTS

BD
CRD#: 19631
SACRAMENTO, CA
Past

February 23, 1998 - November 14, 1998

GLENFED BROKERAGE SERVICES

BD
CRD#: 13648
GLENDALE, 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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/21/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/8/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/1/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/20/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/12/2012
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/2/2011
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 26
Date: 2/16/2005
Investment Company Products/Variable Contracts Principal Examination

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
CITY NATIONAL BANKSOLE SHAREHOLDER
BANUELOS, ALMA DELIABOARD MEMBER4530705
BARTON, RICHARD JOSEPHCHIEF COMPLIANCE OFFICER2040869
BRETADO, SANTIAGO AVILAVP, CFO1945627
DANIEL, JOBY SWANKUTTYBOARD DIRECTOR6616727
GIAQUINTO, GREGGBOARD DIRECTOR3182583
O'KEEFFE, IVOR PATRICKBOARD DIRECTOR2397120
RILEY, SHAWN DAVIDBOARD DIRECTOR7574191

Regulatory assets under management

Total Number of Accounts2,004
AUM (Assets Under Management)$ 1,591,349,877

Disclosures

Regulatory Event3

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

CITY NATIONAL SECURITIES, INC.

CRD#: 103705

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