SW
Scott B. Witter
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CRD#: 2890606
SW
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.
Scott Brian Witter, CFP® was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1997. Scott had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
(1) NAME: Yosemite Conservancy; Non-Investment related; 101 Montgomery Street, Suite 2450, San Francisco, CA 94104 Provides additional funding for the welfare of Yosemite National Park to supplement other government funded programs; Board Member; Start Date: 01/01/22; 2 hours per month; 2 hours during securities trading hours; Board Member - to provide guidance as to the fulfillment of the mission of the organization along with the other board members. (2) NAME: California Science Center Non-Investment related ADDRESS: 700 Exposition Park Drive, Los Angeles, CA 90037 Nature of OBA: Operates the California Science Center - manages budgets, exhibits, fundraising, sets policies. Position/Title/Role: Trustee, Board Member Start Date: 02/12/20 Time Devoted: 5 hours per month; 5 hours during securities trading hours Duties: As part of the Board - see above. No individual responsibility. (3) NAME: Pacific Coast Banking School Non-Investment related ADDRESS: 2223 112th Avenue NE, Suite 200, Bellevue, WA 98004 Nature of OBA: Provides a graduate program in Banking, to banking professionals. Position/Title/Role: Director Start Date: 04/01/18 Time Devoted: 2 hours per month; 2 hours during securities trading hours Duties: Board Member (4) NAME: Los Angeles County Economic Development Corporation Non-Investment Related ADDRESS: 444 S. Flower Street, 37th floor, Los Angeles, CA 90071 Nature of OBA: Economic activities to improve the quality of life for people working and living in the greater Los Angeles area. Position/Role/Title: Board Member Start Date: 11/01/18 Time Devoted: 4 hours per month; 4 hours during securities trading hours Duties: General Board member duties and guidance as to the organization's financial circumstances.
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®
CFP®
Start date: 1999
Experience
Past
February 26, 2014 - February 6, 2023
CITY NATIONAL SECURITIES, INC.
RIA
CRD#: 103705
LOS ANGELES, CA
Past
May 22, 2008 - February 6, 2023
CITY NATIONAL SECURITIES, INC.
BD
CRD#: 103705
LOS ANGELES, CA
Past
August 4, 2004 - April 10, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
PASADENA, CA
Past
July 12, 1999 - April 10, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
PASADENA, CA
Past
June 3, 1997 - July 12, 1999
BA INVESTMENT SERVICES, INC.
BD
CRD#: 12965
OAKLAND, 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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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.
