AL
Abraham E. Lopez
CITY NATIONAL SECURITIES
Los Angeles, CA 90071
Some features on this profile are disabled
CRD#: 4713077
AL
Professional summary
Abraham E Lopez, who also goes by Abraham E. Lopez, Abraham Efrain Lopez, Abraham E. Lopez-mercado, Abraham Efrain Lopez-mercado, is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in Los Angeles, California.
Abraham is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Abraham has worked at 10 firms and has passed the Series 66, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Abraham E. Lopez | Abraham Efrain Lopez | Abraham E. Lopez-Mercado | Abraham Efrain Lopez-Mercado
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 THE OTHER BUSINESS: Eastside Jiu Jitsu INVESTMENT- RELATED: No ADDRESS OF THE OTHER BUSINESS: 3869 Whittier Blvd Los Angeles CA 90023 YOUR POSITION OR TITLE: Owner NATURE OF THE OTHER BUSINESS: Martial Arts School START DATE: 04/01/2022 APPROXIMATE NUMBER OF HOURS/MONTH: 25 APPROXIMATE NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEFLY DESCRIBE YOUR DUTIES RELATING TO THE OTHER BUSINESS: Teach Brazilian Jiu Jitsu
CRS (Client Relationship Summary) - RIA
Click below to view Abraham E Lopez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Abraham E Lopez'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
September 18, 2024 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 555 South Flower Street 11th Floor, Los Angeles, CA 90071RIA
BD
CRD#: 103705
Los Angeles, CA
Current
September 17, 2024 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 555 South Flower Street 11th Floor, Los Angeles, CA 90071RIA
BD
CRD#: 103705
Los Angeles, CA
Past
July 12, 2022 - August 23, 2024
WESTERN INTERNATIONAL SECURITIES, INC.
BD
CRD#: 39262
PASADENA, CA
Past
July 12, 2022 - August 23, 2024
SORRENTO PACIFIC FINANCIAL, LLC
BD
CRD#: 127787
SAN DIEGO, CA
Past
July 12, 2022 - August 23, 2024
SCF SECURITIES, INC.
BD
CRD#: 47275
SAN DIEGO, CA
Past
July 12, 2022 - August 23, 2024
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
HOUSTON, TX
Past
July 12, 2022 - August 23, 2024
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
May 10, 2022 - August 23, 2024
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
SAN DIEGO, CA
Past
May 10, 2022 - August 23, 2024
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
SAN DIEGO, CA
Past
April 16, 2021 - May 9, 2022
CITY NATIONAL SECURITIES, INC.
RIA
CRD#: 103705
LOS ANGELES, CA
Past
April 16, 2021 - May 9, 2022
CITY NATIONAL SECURITIES, INC.
BD
CRD#: 103705
LOS ANGELES, CA
Past
June 20, 2019 - March 30, 2021
WEDBUSH SECURITIES INC.
RIA
CRD#: 877
LOS ANGELES, CA
Past
June 20, 2019 - March 30, 2021
WEDBUSH SECURITIES INC.
BD
CRD#: 877
LOS ANGELES, CA
Past
October 15, 2013 - June 18, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
LOS ANGELES, CA
Past
August 14, 2013 - June 18, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
LOS ANGELES, CA
Past
June 30, 2011 - August 1, 2013
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
SANTA MONICA, 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
Alabama(5/28/2025)
RR
Alaska(5/28/2025)
RR
Arizona(5/28/2025)
RR
Arkansas(5/28/2025)
RR
California(9/17/2024)
IAR
California(9/18/2024)
RR
Colorado(5/28/2025)
RR
Connecticut(5/28/2025)
RR
Delaware(5/28/2025)
RR
District of Columbia(5/28/2025)
RR
Florida(5/28/2025)
RR
Georgia(5/28/2025)
RR
Hawaii(5/28/2025)
RR
Idaho(5/28/2025)
RR
Illinois(5/28/2025)
RR
Indiana(5/28/2025)
RR
Iowa(5/28/2025)
RR
Kansas(5/28/2025)
RR
Kentucky(5/28/2025)
RR
Louisiana(5/28/2025)
RR
Maine(5/28/2025)
RR
Maryland(5/28/2025)
RR
Massachusetts(5/28/2025)
RR
Michigan(5/28/2025)
RR
Minnesota(5/28/2025)
RR
Mississippi(5/28/2025)
RR
Missouri(5/28/2025)
RR
Montana(5/28/2025)
RR
Nebraska(5/28/2025)
RR
Nevada(5/28/2025)
RR
New Hampshire(5/28/2025)
RR
New Jersey(5/28/2025)
RR
New Mexico(5/28/2025)
RR
New York(5/28/2025)
RR
North Carolina(5/28/2025)
RR
North Dakota(5/28/2025)
RR
Ohio(5/29/2025)
RR
Oklahoma(5/28/2025)
RR
Oregon(5/28/2025)
RR
Pennsylvania(5/28/2025)
RR
Rhode Island(5/28/2025)
RR
South Carolina(5/28/2025)
RR
South Dakota(5/28/2025)
RR
Tennessee(6/4/2025)
RR
Texas(5/28/2025)
RR
Utah(5/28/2025)
RR
Vermont(5/28/2025)
RR
Virginia(5/28/2025)
RR
Washington(5/28/2025)
RR
West Virginia(5/28/2025)
RR
Wisconsin(5/28/2025)
RR
Wyoming(5/28/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
