RP
Rafael A. Pando
CITY NATIONAL SECURITIES
PASADENA, CA
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CRD#: 3061784
RP
Professional summary
Rafael Antonio Pando, who also goes by Ralph A Pando, Ralph Pando, is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in Pasadena, California.
Rafael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Rafael has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ralph A Pando | Ralph Pando
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.
RENTAL PROPERTY; INVESTMENT RELATED; LA QUINTA,CA; 50% OWNERSHIP WITH SPOUSE; START DATE 01/10/2020; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 1; OWNER. the name of the other business; NA whether the business is investment-related; No the address of the other business; 43419 Corte Del Oro, La Quinta, Ca 92253 the nature of the other business; Rental Property your position; Owned with spouse, brother in law and sister in law title, or relationship with the other business; co owner the start date of your relationship; 1/13/2020 the approximate number of hours/month you devote to the other business; 1 the number of hours you devote to the other business during securities trading hours; 0 and briefly describe your duties relating to the other business; Home owner related responsibilities. Ongoing maintenance and rental (typically, only rented about 3 months a year).
CRS (Client Relationship Summary) - RIA
Click below to view Rafael Antonio Pando's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rafael Antonio Pando'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
November 5, 2021 - Present
CITY NATIONAL SECURITIES, INC.
Office #2: 55 S. Lake Ave 6th Floor, Pasadena, CA 91101RIA
BD
CRD#: 103705
PASADENA, CA
Current
November 4, 2021 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 55 S. Lake Ave 6th Floor, Pasadena, CA 91101RIA
BD
CRD#: 103705
Pasadena, CA
Past
November 26, 2012 - October 28, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PASADENA, CA
Past
September 20, 2012 - October 28, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PASADENA, CA
Past
July 12, 1999 - June 4, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
ENCINO, CA
Past
May 26, 1998 - 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.
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(11/4/2021)
IAR
California(11/5/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
