WR
Wayne G. Rogers
CITY NATIONAL SECURITIES
Orange, CA
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CRD#: 4362789
WR
Professional summary
Wayne George Rogers is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in Orange, California.
Wayne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Wayne has worked at 7 firms and has passed the Series 65, Series 63, SIE 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.
NAME OF BUSINESS-Orange County Soccer Referee's Association; INVESTMENT RELATED-No; BUSINESS ADDRESS-23193 La Cadena Dr. Suite 103, Laguna Hills, CA 92653; NATURE OF BUSINESS-The specific purpose of this organization is to provide soccer referee training and education, and to provide soccer referee services, with the publicly organized and operating soccer sporting community; POSITION-I am a member of this organization. I am a soccer referee; START DATE-06/26/18; HOURS PER MONTH-6; HOURS DURING TRADING-0; DUTIES-I am a soccer referee who works soccer games assigned to me by an Assignor in the organization.
NAME OF BUSINESS-Beach Cities Soccer Referees Association, Inc.; INVESTMENT RELATED-No; BUSINESS ADDRESS-14754 Hardaway Drive, La Mirada, CA 90638; NATURE OF BUSINESS-The specific purpose of this organization is to provide soccer referee training and education, and to provide soccer referee services, with the publicly organized and operating soccer sporting community; POSITION-I am a member of this organization. I am a soccer referee; START DATE-05/09/18; HOURS PER MONTH-6; HOURS DURING TRADING-0; DUTIES-I am a soccer referee who works soccer games assigned to me by an Assignor in the organization.
NAME OF BUSINESS-NOCRA; INVESTMENT RELATED-No; BUSINESS ADDRESS-6733 E. Santiago Canyon Road, #165, Anaheim Hills, CA 92618; NATURE OF BUSINESS-The specific purpose of this organization is to provide soccer referee training and education, and to provide soccer referee services, with the publicly organized and operating soccer sporting community; POSITION-I am a member of this organization, North Orange County Referee Association. I am a Referee in Youth Soccer; START DATE-09/01/17; HOURS PER MONTH-32; HOURS DURING TRADING-0; DUTIES-I am a soccer referee.
CRS (Client Relationship Summary) - RIA
Click below to view Wayne George Rogers's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Wayne George Rogers'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
September 12, 2018 - Present
CITY NATIONAL SECURITIES, INC.
Office #2: 2029 Century Park East 1st Floor, Los Angeles, CA 90067RIA
BD
CRD#: 103705
Orange, CA
Current
September 12, 2018 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 2029 Century Park East 1st Floor, Los Angeles, CA 90067RIA
BD
CRD#: 103705
LOS ANGELES, CA
Past
July 29, 2013 - February 8, 2017
TD PRIVATE CLIENT WEALTH LLC
RIA
CRD#: 164484
MELVILLE, NY
Past
February 28, 2013 - February 8, 2017
TD PRIVATE CLIENT WEALTH LLC
BD
CRD#: 164484
MELVILLE, NY
Past
November 14, 2008 - December 12, 2012
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK, NY
Past
November 16, 2006 - September 25, 2008
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
July 13, 2005 - November 17, 2006
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
NEW YORK, NY
Past
May 23, 2003 - January 4, 2005
FIRST REPUBLIC SECURITIES COMPANY, LLC
BD
CRD#: 105108
SAN FRANCISCO, CA
Past
June 13, 2001 - April 21, 2003
BNY INVESTMENT CENTER INC.
BD
CRD#: 47683
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 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(9/12/2018)
IAR
California(9/12/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
