SR
Sara K. Ritter
CITY NATIONAL SECURITIES
Los Angeles, CA 90071
Some features on this profile are disabled
CRD#: 2920751
SR
Professional summary
Sara Kiyomi Ritter is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in Los Angeles, California.
Sara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Sara has worked at 7 firms and has passed the Series 66, Series 63, Series 52TO, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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 of Entity: Rental Property; Non investment-related; Address: 18130 OXNARD ST UNIT 72,TARZANA, CA 91356; Nature of OBA: Rent primary residence I own.; Position/Title/Relationship: Owner of residential property - for rent; Start Date: 2025-07-04; Time devoted: 1 or less hours per month; 1 or less during securities trading hours; Duties: Self, pay bills/mortgage, pay and work with property manager.
CRS (Client Relationship Summary) - RIA
Click below to view Sara Kiyomi Ritter's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sara Kiyomi Ritter'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 25, 2014 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 555 South Flower Street 11th Floor, Los Angeles, CA 90071RIA
BD
CRD#: 103705
Los Angeles, CA
Current
June 3, 2011 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 555 South Flower Street 11th Floor, Los Angeles, CA 90071RIA
BD
CRD#: 103705
Los Angeles, CA
Past
June 26, 2009 - May 27, 2011
CROWELL, WEEDON & CO.
BD
CRD#: 193
LOS ANGELES, CA
Past
November 9, 2006 - July 6, 2007
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
SANTA MONICA, CA
Past
February 27, 2004 - November 9, 2006
DFC INVESTOR SERVICES
BD
CRD#: 18558
SANTA MONICA, CA
Past
November 6, 2002 - January 12, 2004
NATIONAL CLEARING CORP.
BD
CRD#: 14343
SHERMAN OAKS, CA
Past
September 3, 2002 - October 7, 2002
E*TRADE CLEARING LLC
BD
CRD#: 25025
JERSEY CITY, NJ
Past
March 10, 1998 - September 3, 2002
E*TRADE SECURITIES LLC
BD
CRD#: 29106
JERSEY CITY, NJ
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
Alabama(6/3/2011)
RR
Alaska(6/3/2011)
RR
Arizona(6/3/2011)
RR
Arkansas(6/3/2011)
RR
California(6/3/2011)
IAR
California(2/25/2014)
RR
Colorado(6/3/2011)
RR
Connecticut(6/3/2011)
RR
Delaware(6/3/2011)
RR
District of Columbia(6/3/2011)
RR
Florida(6/3/2011)
RR
Georgia(6/3/2011)
RR
Hawaii(6/3/2011)
RR
Idaho(6/3/2011)
RR
Illinois(6/3/2011)
RR
Indiana(6/3/2011)
RR
Kansas(6/3/2011)
RR
Kentucky(6/3/2011)
RR
Louisiana(6/3/2011)
RR
Maine(6/3/2011)
RR
Maryland(6/3/2011)
RR
Massachusetts(6/3/2011)
RR
Michigan(6/3/2011)
RR
Minnesota(6/3/2011)
RR
Montana(6/3/2011)
RR
Nebraska(6/3/2011)
RR
Nevada(6/3/2011)
IAR
Nevada(4/22/2024)
RR
New Hampshire(6/3/2011)
RR
New Jersey(6/3/2011)
RR
New Mexico(6/3/2011)
RR
New York(6/3/2011)
IAR
New York(4/19/2024)
RR
North Carolina(6/6/2011)
RR
Ohio(6/6/2011)
RR
Oklahoma(6/3/2011)
RR
Oregon(6/3/2011)
RR
Pennsylvania(6/3/2011)
RR
Rhode Island(6/3/2011)
RR
South Carolina(6/3/2011)
RR
South Dakota(6/3/2011)
RR
Tennessee(6/3/2011)
RR
Texas(6/3/2011)
RR
Utah(6/3/2011)
RR
Vermont(6/3/2011)
RR
Virginia(6/3/2011)
RR
Washington(6/3/2011)
RR
West Virginia(6/3/2011)
RR
Wisconsin(6/3/2011)
RR
Wyoming(6/3/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 5/19/2014
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
