AM
Abel J. Montanez
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CRD#: 4483125
AM
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.
Abel Joseph Montanez was a registered financial professional .
Abel is a previously registered financial professional and started their career in finance in 2002. Abel had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
RENTAL PROPERTY; INVESTMENT RELATED; PASADENA, CA; OWNER; START DATE 5/2012; 0 HRS PER MONTH. (1): the name of the other business; Rental Property whether the business is investment-related; yes the address of the other business; 3190 Mataro St. Pasadena CA 91107 the nature of the other business; Residential Rental Income property your position; Owner. Vesting is 100% in the name of my revocable living trust whereby my spouse (Emily Montanez) and I are the only trustees title, or relationship with the other business; owner the start date of your relationship; 102/15/2002 the approximate number of hours/month you devote to the other business; 0 the number of hours you devote to the other business during securities trading hours; 0 and briefly describe your duties relating to the other business; Owner (2) NAME: Foothill Family Services Non-Investment related ADDRESS: 2500 E Foothill Blvd. Pasadena CA 91107 Nature of OBA: Charitable organization that provides early childhood development programs and social serviced designed to improve infant, child, youth and family development in greater Los Angeles Role/Title/Position: Board Member Start Date: 05/22/21 Time devoted: 6 hours per month; 0 during securities trading hours Duties: Board member and brand ambassador. Vote on governance related issues to ensure oversight and soundness of the organization. (3) Name of Entity: Marshall School of Business (USC) Corporate Advisory Board Non-Investment related Address of Entity: 3670 Trousdale Parkway Los Angeles, CA 90089 Nature of OBA: The USC Marshall Corporate Advisory Board (CAB) is comprised of senior level executives from major corporations from around the world. Their purpose is to support the research and education mission at Marshall. The CAB serves as a crucial link between the school and the international corporate business community and provides input on the strategic direction of the school. Position/Title/Relationship: Provide general business insight to Dean and school administration to help them make strategic decisions about curriculum and general direction of the program. Start Date: 09/24/21 Time Devoted: 2 hours per month; 0 during securities trading hours Duties: Provide general business insight to Dean and school administration to help them make strategic decisions about curriculum and general direction of the program. (4) Name of Entity: Foothill Family Services Non-investment related Address of Entity: 2500 E. Foothill Blvd. Suite 300 Pasadena, CA 91107-3406 Nature of OBA: FFS is committed to improving infant, child, youth, and family development and are leaders in providing comprehensive mental health care, early childhood development programs, and social services throughout the Greater Los Angeles region. Position/Title/Relationship: Board Member Start Date: 05/27/21 Time devoted: 6 hours per month; 0 during securities trading hours Duties: General Board member helping to provide general oversight of management team.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
June 22, 2021 - July 11, 2025
CITY NATIONAL SECURITIES, INC.
RIA
CRD#: 103705
LOS ANGELES, CA
Past
June 21, 2021 - July 11, 2025
CITY NATIONAL SECURITIES, INC.
BD
CRD#: 103705
LOS ANGELES, CA
Past
January 3, 2011 - May 26, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
LOS ANGELES, CA
Past
January 3, 2011 - May 26, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
LOS ANGELES, CA
Past
December 21, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
PASADENA, CA
Past
December 20, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
PASADENA, CA
Past
May 29, 2007 - December 13, 2007
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
BEVERLY HILLS, CA
Past
May 29, 2007 - December 13, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
BEVERLY HILLS, CA
Past
August 5, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
BEVERLY HILLS, CA
Past
August 5, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
BEVERLY HILLS, CA
Past
January 30, 2003 - June 3, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
LOS ANGELES, CA
Past
January 30, 2003 - June 3, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
January 10, 2002 - December 16, 2002
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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.
