TB
Thomas F. Bennett
CITY NATIONAL SECURITIES
BENICIA, CA
Some features on this profile are disabled
CRD#: 4201609
TB
Professional summary
Thomas Francis Bennett, CFP®, who also goes by Tom Bennett, is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in Benicia, California.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Thomas has worked at 11 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Bennett
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Francis Bennett's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Francis Bennett'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®
CFP®
Start date: 2010
Experience
Current
June 6, 2025 - Present
CITY NATIONAL SECURITIES, INC.
Office #2: 2001 North Main Street 1st Floor, Walnut Creek, CA 94596RIA
BD
CRD#: 103705
BENICIA, CA
Current
June 5, 2025 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 2001 North Main Street 1st Floor, Walnut Creek, CA 94596RIA
BD
CRD#: 103705
Walnut Creek, CA
Past
December 7, 2023 - May 27, 2025
HORTER INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 119880
Benicia, CA
Past
May 21, 2014 - June 23, 2023
U.S. BANCORP ADVISORS, LLC
RIA
CRD#: 14455
WALNUT CREEK, CA
Past
May 21, 2014 - June 23, 2023
U.S. BANCORP ADVISORS, LLC
BD
CRD#: 14455
WALNUT CREEK, CA
Past
September 16, 2013 - March 11, 2014
SAYBRUS EQUITY SERVICES, LLC
BD
CRD#: 153319
HARTFORD, CT
Past
June 11, 2013 - September 25, 2013
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
ANTIOCH, CA
Past
June 11, 2013 - September 25, 2013
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
ANTIOCH, CA
Past
August 8, 2012 - May 1, 2013
NEW ENGLAND SECURITIES
RIA
CRD#: 615
SAN RAMON, CA
Past
July 17, 2012 - May 1, 2013
NEW ENGLAND SECURITIES
BD
CRD#: 615
SAN RAMON, CA
Past
July 6, 2005 - June 25, 2012
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
RICHMOND, CA
Past
July 1, 2005 - June 25, 2012
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
RICHMOND, CA
Past
February 5, 2003 - April 28, 2005
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
March 30, 2001 - February 5, 2003
CAL FED INVESTMENTS
BD
CRD#: 19631
SACRAMENTO, CA
Past
June 21, 2000 - February 1, 2001
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 21, 2000 - February 1, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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. | RBC 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(7/30/2025)
RR
Alaska(8/4/2025)
RR
Arizona(7/2/2025)
RR
Arkansas(9/9/2025)
IAR
California(6/6/2025)
RR
California(6/20/2025)
RR
Colorado(11/21/2025)
RR
Connecticut(7/30/2025)
RR
Delaware(7/30/2025)
RR
District of Columbia(7/30/2025)
RR
Florida(7/30/2025)
RR
Georgia(7/30/2025)
RR
Hawaii(10/14/2025)
RR
Idaho(8/5/2025)
RR
Illinois(12/1/2025)
RR
Indiana(7/30/2025)
RR
Iowa(7/30/2025)
RR
Kansas(7/30/2025)
RR
Louisiana(7/30/2025)
RR
Maine(7/31/2025)
RR
Michigan(12/18/2025)
RR
Minnesota(7/30/2025)
RR
Mississippi(7/30/2025)
RR
Missouri(7/30/2025)
RR
Montana(8/13/2025)
RR
Nebraska(8/27/2025)
RR
Nevada(7/30/2025)
RR
New Hampshire(10/3/2025)
RR
New Jersey(9/18/2025)
RR
New Mexico(7/30/2025)
RR
New York(7/31/2025)
RR
North Carolina(8/6/2025)
RR
North Dakota(7/30/2025)
RR
Ohio(8/1/2025)
RR
Oklahoma(8/5/2025)
RR
Oregon(7/30/2025)
RR
Pennsylvania(7/30/2025)
RR
Rhode Island(7/30/2025)
RR
South Carolina(7/30/2025)
RR
South Dakota(7/30/2025)
RR
Tennessee(8/28/2025)
RR
Texas(7/30/2025)
RR
Utah(8/28/2025)
RR
Vermont(7/30/2025)
RR
Virginia(7/30/2025)
RR
Washington(7/29/2025)
RR
West Virginia(8/6/2025)
RR
Wisconsin(8/6/2025)
RR
Wyoming(7/31/2025)
Exams
State Security Law Exam
State Security Law 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. | RBC 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)
PREMIUM
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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
186
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 DIRECTOR | 4530705 |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 |
| BRETADO, SANTIAGO AVILA | VP & CHIEF FINANCIAL OFFICER | 1945627 |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 |
| GIAQUINTO, GREGG | BOARD DIRECTOR | 3182583 |
| MAGUIRE, WILLIAM JOHN JR | PRESIDENT & CHIEF EXECUTIVE OFFICER | 2040885 |
| O'KEEFFE, IVOR PATRICK | CHIEF OPERATING OFFICER & BOARD DIRECTOR | 2397120 |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 7574191 |
Regulatory assets under management
| Total Number of Accounts | 1,781 |
| AUM (Assets Under Management) | $ 1,515,102,638 |
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.
