SR
Susan G. Rogers
CITY NATIONAL SECURITIES
Washington, DC 20036
Some features on this profile are disabled
CRD#: 2861395
SR
Professional summary
Susan Green Rogers, who also goes by Susan Rogers, is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in Washington, District Of Columbia.
Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Susan has worked at 4 firms and has passed the Series 66, Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Susan Rogers
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 Susan Green Rogers's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Susan Green Rogers'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
February 3, 2020 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 2001 M. Street Nw 3rd Floor, Washington, DC 20036RIA
BD
CRD#: 103705
Washington, DC
Current
July 9, 2019 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 2001 M. Street Nw 3rd Floor, Washington, DC 20036RIA
BD
CRD#: 103705
Washington, DC
Past
May 19, 2014 - July 3, 2019
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WASHINGTON, DC
Past
March 27, 2013 - July 3, 2019
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WASHINGTON, DC
Past
November 1, 2010 - May 24, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MCLEAN, VA
Past
October 28, 2008 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
MCLEAN, VA
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(7/9/2019)
IAR
California(2/3/2020)
RR
Colorado(7/9/2019)
RR
Connecticut(7/9/2019)
RR
Delaware(7/9/2019)
RR
District of Columbia(7/9/2019)
RR
Florida(7/9/2019)
RR
Georgia(7/9/2019)
RR
Maryland(7/9/2019)
RR
Massachusetts(7/9/2019)
RR
Montana(7/9/2019)
RR
New York(7/9/2019)
RR
North Carolina(7/9/2019)
RR
Pennsylvania(7/9/2019)
RR
South Carolina(7/9/2019)
RR
Texas(7/9/2019)
RR
Virginia(7/9/2019)
RR
Wyoming(7/9/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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.
