XS
Xavier O. Steiner
CITY NATIONAL SECURITIES
Los Angeles, CA 90071
Some features on this profile are disabled
CRD#: 4506150
XS
Professional summary
Xavier Oliver Steiner is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in Los Angeles, California.
Xavier is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Xavier has worked at 5 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53 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.
Name:Xavier Steiner
Investment-related:Yes
Address:1) 101 S. 12th Street #402 Tampa Fl, 33602. 2) 2925 West Alline Ave. Tampa, Fl, 33602
Nature:Passive Rental Income Properties
Position, title, or relationship:Landlord
Start date:1/8/2007
# of hours/month:3
# of hours during securities trading hours:0
Duties:N/A
CRS (Client Relationship Summary) - RIA
Click below to view Xavier Oliver Steiner's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Xavier Oliver Steiner'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
March 10, 2025 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 555 South Flower Street 11th Floor, Los Angeles, CA 90071RIA
BD
CRD#: 103705
Los Angeles, CA
Current
December 4, 2013 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 555 South Flower Street 11th Floor, Los Angeles, CA 90071RIA
BD
CRD#: 103705
Los Angeles, CA
Past
August 26, 2011 - November 29, 2013
FURTHER LANE SECURITIES, L.P.
BD
CRD#: 38162
SAN FRANCISCO, CA
Past
June 3, 2010 - July 13, 2011
FINANCIAL WEST GROUP
BD
CRD#: 16668
WESTLAKE VILLAGE, CA
Past
March 5, 2003 - March 29, 2010
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
TAMPA, FL
Past
August 28, 2002 - June 12, 2003
LPE SECURITIES, LLC
BD
CRD#: 117851
TAMPA, FL
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
Alabama(1/6/2025)
RR
Alaska(7/29/2025)
RR
Arizona(3/19/2014)
RR
Arkansas(1/6/2025)
RR
California(12/4/2013)
IAR
California(3/10/2025)
RR
Colorado(1/6/2025)
RR
Connecticut(1/6/2025)
RR
Delaware(1/6/2025)
RR
District of Columbia(7/29/2025)
RR
Florida(12/4/2013)
RR
Georgia(12/4/2013)
RR
Hawaii(1/6/2025)
RR
Idaho(1/6/2025)
RR
Illinois(1/6/2025)
RR
Indiana(7/29/2025)
RR
Iowa(1/6/2025)
RR
Kansas(1/6/2025)
RR
Kentucky(1/6/2025)
RR
Louisiana(7/29/2025)
RR
Maine(7/29/2025)
RR
Maryland(7/29/2025)
RR
Massachusetts(1/6/2025)
RR
Michigan(1/6/2025)
RR
Minnesota(1/6/2025)
RR
Mississippi(7/29/2025)
RR
Missouri(1/6/2025)
RR
Montana(1/6/2025)
RR
Nebraska(1/6/2025)
RR
Nevada(12/4/2013)
RR
New Hampshire(1/6/2025)
RR
New Jersey(12/4/2013)
RR
New Mexico(1/6/2025)
RR
New York(12/4/2013)
RR
North Carolina(1/6/2025)
RR
North Dakota(7/29/2025)
RR
Ohio(1/6/2025)
RR
Oklahoma(1/6/2025)
RR
Oregon(12/4/2013)
RR
Pennsylvania(1/6/2025)
RR
Rhode Island(7/29/2025)
RR
South Carolina(7/29/2025)
RR
South Dakota(7/29/2025)
RR
Tennessee(1/6/2025)
RR
Texas(1/6/2025)
RR
Utah(1/6/2025)
RR
Vermont(7/29/2025)
RR
Virginia(1/6/2025)
RR
Washington(1/6/2025)
RR
West Virginia(7/29/2025)
RR
Wisconsin(1/6/2025)
RR
Wyoming(1/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
