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RE

Richard G. Engbrecht

CITY NATIONAL SECURITIES
SAN DIEGO, CA
Some features on this profile are disabled
CRD#: 4594836
RE

Professional summary

Richard George Engbrecht, who also goes by Richard Engbrecht, Rick Engbrecht, is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in San Diego, California.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Richard has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Richard Engbrecht | Rick Engbrecht

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard George Engbrecht's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Richard George Engbrecht's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 31, 2018 - Present

CITY NATIONAL SECURITIES, INC.

Office #2: 4275 Executive Square 7th Floor, La Jolla, CA 92037
RIA
BD
CRD#: 103705
SAN DIEGO, CA
Current

May 31, 2018 - Present

CITY NATIONAL SECURITIES, INC.

Office #1: 4275 Executive Square 7th Floor, La Jolla, CA 92037
RIA
BD
CRD#: 103705
LA JOLLA, CA
Past

April 10, 2010 - May 22, 2018

U.S. BANCORP ADVISORS, LLC

BD
CRD#: 14455
LAJOLLA, CA
Past

April 8, 2010 - May 22, 2018

U.S. BANCORP ADVISORS, LLC

RIA
CRD#: 14455
LAJOLLA, CA
Past

July 24, 2008 - June 9, 2009

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN DIEGO, CA
Past

June 24, 2008 - June 9, 2009

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
SAN DIEGO, CA
Past

January 3, 2006 - June 1, 2007

NEW ENGLAND SECURITIES

RIA
CRD#: 615
SAN DIEGO, CA
Past

December 19, 2002 - June 1, 2007

NEW ENGLAND SECURITIES

BD
CRD#: 615
SAN DIEGO, 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
RR
IAR
Series 66
Date: 12/27/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/20/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/18/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/18/2002
Investment Company Products/Variable Contracts Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CNS ASSET ALLOCATION PROGRAM BROCHURE (4/24/2025)
CNS INVESTMENT ADVISORY PROGRAM BROCHURE (4/24/2025)

Direct owners and executive officers

NamePositionCRD#
CITY NATIONAL BANKSOLE SHAREHOLDER
BANUELOS, ALMA DELIABOARD MEMBER4530705
BARTON, RICHARD JOSEPHCHIEF COMPLIANCE OFFICER2040869
BRETADO, SANTIAGO AVILAVP, CFO1945627
DANIEL, JOBY SWANKUTTYBOARD DIRECTOR6616727
GIAQUINTO, GREGGBOARD DIRECTOR3182583
O'KEEFFE, IVOR PATRICKBOARD DIRECTOR2397120
RILEY, SHAWN DAVIDBOARD DIRECTOR7574191

Regulatory assets under management

Total Number of Accounts2,004
AUM (Assets Under Management)$ 1,591,349,877

Disclosures

Regulatory Event3

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/28/2025
Cover Page
Report
10/27/2023
Cover Page
Report

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.

Company Information

CITY NATIONAL SECURITIES, INC.

CRD#: 103705San Diego, CA

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