CH
Christopher D. Hartman
CITY NATIONAL SECURITIES
Washington, DC 20036
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CRD#: 4389708
CH
Professional summary
Christopher David Hartman is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in Washington, District Of Columbia.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Christopher has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 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.
*ALEXANDRIA INDUSTRIAL DEVELOPMENT AUTHORITY *provides financing assistance to qualified businesses and organizations wishing to make an investment within the City of Alexandria. IDA acts as a conduit, issuing bonds and lending proceeds to 501(c)(3) organizations, small manufacturers and others. *ALEXANDRIA, VA *DIRECTOR *10/8/13 - PRESENT *VOLUNTARILY SERVING AS A DIRECTOR AND ADVISOR TO DEVELOP THE COMMUNITY I BOTH LIVE AND WORK IN *0-HOURS DEVOTED PER MONTH DURING BUSINESS HOURS/10-HOURS DEVOTED PER MONTH AFTER BUSINESS HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher David Hartman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher David Hartman'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
January 12, 2018 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 2001 M. Street Nw 3rd Floor, Washington, DC 20036RIA
BD
CRD#: 103705
Washington, DC
Current
January 12, 2018 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 2001 M. Street Nw 3rd Floor, Washington, DC 20036RIA
BD
CRD#: 103705
Washington, DC
Past
September 9, 2016 - January 5, 2018
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
ALEXANDRIA, VA
Past
September 24, 2008 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
VIENNA, VA
Past
September 24, 2008 - January 5, 2018
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
VIENNA, VA
Past
May 29, 2007 - July 10, 2008
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
WASHINGTON, DC
Past
May 29, 2007 - July 10, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
WASHINGTON, DC
Past
April 12, 2002 - May 29, 2007
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
WASHINGTON, DC
Past
April 27, 2001 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
WASHINGTON, DC
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
IAR
California(1/12/2018)
RR
Colorado(6/11/2021)
RR
Delaware(1/12/2018)
RR
District of Columbia(1/12/2018)
IAR
District of Columbia(9/17/2025)
RR
Florida(1/12/2018)
RR
Georgia(6/11/2021)
RR
Kansas(10/21/2022)
RR
Maryland(1/12/2018)
RR
Michigan(10/21/2022)
RR
New Jersey(1/12/2018)
RR
New York(1/12/2018)
RR
North Carolina(6/11/2021)
RR
Pennsylvania(1/12/2018)
RR
South Carolina(6/11/2021)
RR
Texas(6/11/2021)
RR
Virginia(1/12/2018)
Exams
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.
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.
