EL
Erik K. Larsen
CITY NATIONAL SECURITIES
LA CRESCENTA, CA
Some features on this profile are disabled
CRD#: 4516402
EL
Professional summary
Erik Kristian Larsen is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in La Crescenta, California.
Erik is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Erik has worked at 5 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.
(1) Name of Entity: Rose Bowl Aquatic Center; Non-investment related; Address: 360 N Arroyo Blvd Pasadena, CA 91103; Nature of OBA: The Rose Bowl Aquatic Center provides swim, dive and water polo lessons to the local community ; Position/Title/Relationship: Committee Member, Board Member, Treasurer; Start Date: 09/01/2021; Time devoted: 3 hours per month; 0 during securities trading hours; Duties: I am a board member and chair of the finance committee. I have been asked to be the treasurer of the Aquatic center.
CRS (Client Relationship Summary) - RIA
Click below to view Erik Kristian Larsen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Erik Kristian Larsen'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
May 31, 2018 - Present
CITY NATIONAL SECURITIES, INC.
Office #2: 2029 Century Park East 1st Floor, Los Angeles, CA 90067RIA
BD
CRD#: 103705
LA CRESCENTA, CA
Current
May 31, 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
March 31, 2017 - June 5, 2018
CITI PRIVATE ALTERNATIVES, LLC
BD
CRD#: 153777
Los Angeles, CA
Past
May 29, 2007 - June 5, 2018
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
LOS ANGELES, CA
Past
May 29, 2007 - June 5, 2018
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
LOS ANGELES, CA
Past
June 13, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
LOS ANGELES, CA
Past
December 20, 2002 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LOS ANGELES, CA
Past
April 16, 2002 - October 17, 2002
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
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(5/31/2018)
IAR
California(5/31/2018)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
