Herald W. Podger
Professional summary
Herald William Podger, who also goes by Bill Podger, H William Podger, H Wm Podger, is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in San Francisco, California.
Herald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Herald has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Herald William Podger's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Herald William Podger's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 26, 2014 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 150 California St 12th Floor, San Francisco, CA 94111February 18, 2011 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 150 California St 12th Floor, San Francisco, CA 94111March 17, 2011 - March 22, 2011
CITY NATIONAL SECURITIES, INC.
April 21, 2006 - November 23, 2009
DEUTSCHE BANK SECURITIES INC.
April 21, 2006 - November 23, 2009
DEUTSCHE BANK SECURITIES INC.
January 2, 2003 - April 18, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 22, 2001 - April 18, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 24, 1997 - April 23, 1998
BA INVESTMENT SERVICES, 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
(2/18/2011)
(2/26/2014)
Exams
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 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.
