PG
Paul M. Guerney
CITY NATIONAL ROCHDALE
New York, NY 10022
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CRD#: 3277237
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Professional summary
Paul Michael Guerney, CPWA® is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in New York, New York and CNR SECURITIES, LLC located in New York, New York.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Paul has worked at 3 firms and has passed the Series 66, Series 57TO, SIE, Series 55 and Series 7 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: 100 Lakeshore Dr. North Palm Beach; Non-investment related; Address: 41 Spruce ln s Chappaqua NY 10514; Nature of OBA: Rental Property; Position/Title/Relationship: Owner; Start Date: 11/17/2023; Time devoted: 1 hours per month; 0 during securities trading hours; Duties: Landlord. (2) Name of Entity: 3600 S Ocean Dr. S Palm Beach; Non-investment related; Address: 41 Spruce ln s Chappaqua NY 10514; Nature of OBA: Rental Property; Position/Title/Relationship: Owner; Start Date: 11/17/2023; Time devoted: 1 hours per month; 0 during securities trading hours; Duties: Landlord. (3) Name of Entity: Real State; Non-investment related; Address: 41 Spruce ln s Chappaqua NY 10514; Nature of OBA: Rental Property; Position/Title/Relationship: I own three rental properties; Start Date: 02/15/2023; Time devoted: 2 hours per month; 0 during securities trading hours; Duties: Own rental property. (4) Name of Entity: 703-709 Long Pond Rd. Mahopac NY; Non-investment related; Address: 41 Spruce ln s Chappaqua NY 10514; Nature of OBA: Rental Property; Position/Title/Relationship: Owner; Start Date: 11/17/2023; Time devoted: 1 hours per month; 0 during securities trading hours; Duties: Landlord.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Michael Guerney'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®
CPWA®
Start date: 2021-08-26
Expire date: 2023-07-31
Experience
Current
October 5, 2001 - Present
CITY NATIONAL ROCHDALE
Office #1: 400 Park Avenue, New York, NY 10022RIA
CRD#: 117198
New York, NY
Current
August 13, 2001 - Present
CNR SECURITIES, LLC
Office #1: 400 Park Avenue 6th Floor, New York, NY 10022BD
CRD#: 18466
NEW YORK, NY
Past
August 16, 1999 - September 17, 1999
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
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 ROCHDALE
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC
CRD#: 117198 / SEC#: 801-27265
RIA
Registered Investment Advisory firm - (6/20/1986 Approved)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(1/20/2014)
IAR
Alabama(1/20/2014)
RR
Arizona(1/20/2014)
IAR
Arizona(2/3/2014)
RR
Arkansas(1/20/2014)
IAR
Arkansas(1/20/2014)
IAR
California(10/5/2001)
RR
California(1/20/2014)
RR
Colorado(1/20/2014)
IAR
Colorado(1/20/2014)
IAR
Connecticut(3/23/2012)
RR
Connecticut(1/20/2014)
RR
Delaware(1/20/2014)
IAR
Delaware(1/20/2014)
RR
District of Columbia(1/20/2014)
IAR
District of Columbia(3/5/2014)
RR
Florida(1/20/2014)
IAR
Florida(9/14/2023)
IAR
Georgia(3/26/2012)
RR
Georgia(1/20/2014)
RR
Hawaii(1/20/2014)
RR
Idaho(1/20/2014)
IAR
Idaho(1/20/2014)
RR
Illinois(1/20/2014)
IAR
Illinois(1/20/2014)
IAR
Indiana(1/6/2008)
RR
Indiana(1/20/2014)
RR
Iowa(1/20/2014)
IAR
Iowa(1/20/2014)
IAR
Kansas(1/2/2009)
RR
Kansas(1/20/2014)
RR
Kentucky(1/20/2014)
RR
Louisiana(7/11/2022)
RR
Maine(1/20/2014)
IAR
Maine(1/20/2014)
RR
Maryland(1/20/2014)
IAR
Maryland(1/20/2014)
IAR
Massachusetts(1/6/2009)
RR
Massachusetts(1/20/2014)
IAR
Michigan(11/5/2010)
RR
Michigan(1/20/2014)
RR
Minnesota(1/20/2014)
IAR
Minnesota(1/20/2014)
RR
Mississippi(1/20/2014)
IAR
Missouri(1/2/2009)
RR
Missouri(9/19/2018)
RR
Montana(1/20/2014)
IAR
Montana(1/21/2014)
IAR
Nebraska(1/2/2009)
RR
Nebraska(1/20/2014)
RR
Nevada(1/20/2014)
IAR
New Hampshire(1/5/2009)
RR
New Hampshire(1/20/2014)
IAR
New Jersey(1/5/2009)
RR
New Jersey(1/20/2014)
RR
New Mexico(1/20/2014)
IAR
New Mexico(1/21/2014)
RR
New York(8/21/2001)
IAR
New York(4/5/2021)
IAR
North Carolina(1/5/2009)
RR
North Carolina(1/21/2014)
RR
Ohio(1/21/2014)
IAR
Ohio(1/21/2014)
IAR
Oklahoma(1/31/2009)
RR
Oklahoma(1/20/2014)
RR
Oregon(1/20/2014)
IAR
Oregon(1/20/2014)
IAR
Pennsylvania(12/24/2008)
RR
Pennsylvania(1/20/2014)
RR
Puerto Rico(4/20/2021)
RR
Rhode Island(1/20/2014)
IAR
Rhode Island(1/20/2014)
IAR
South Carolina(3/26/2012)
RR
South Carolina(1/20/2014)
RR
South Dakota(1/20/2014)
IAR
South Dakota(1/23/2014)
RR
Tennessee(4/11/2014)
IAR
Texas(1/2/2009)
RR
Texas(1/20/2014)
RR
Utah(1/20/2014)
IAR
Utah(1/21/2014)
RR
Vermont(1/20/2014)
IAR
Virginia(12/24/2008)
RR
Virginia(1/20/2014)
RR
Washington(3/7/2016)
IAR
West Virginia(3/28/2012)
RR
West Virginia(1/20/2014)
RR
Wisconsin(1/20/2014)
IAR
Wisconsin(1/20/2014)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/20/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CN
CITY NATIONAL ROCHDALE
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC
CRD#: 117198 / SEC#: 801-27265
RIA
Registered Investment Advisory firm - (6/20/1986 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
400 Park Avenue 10th Floor, New York, NY 10022
Mailing Address
Phone number
(212) 702-3500
Established
Firm type
Fiscal year end
# of Employees
235
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
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.
