Yevgenia Katsnelson
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.
Yevgenia Katsnelson, who also goes by Jenya Katsnelson, was a registered financial professional .
Yevgenia is a previously registered financial professional and started their career in finance in 2000. Yevgenia had worked at 6 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2007 - June 15, 2023
CITY NATIONAL ROCHDALE
December 2, 2005 - June 15, 2023
CNR SECURITIES, LLC
February 26, 2004 - January 21, 2005
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 3, 2003 - May 8, 2003
OPPENHEIMER & CO. INC.
May 3, 2001 - January 3, 2003
CIBC WORLD MARKETS CORP.
October 27, 2000 - February 5, 2001
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
Contact information
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.
