MP
Michael D. Pearce
CITY NATIONAL SECURITIES
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 4926502
MP
Professional summary
Michael David Pearce, who also goes by Mike Pearce, is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in San Francisco, California.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Michael has worked at 10 firms and has passed the Series 65, Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Pearce
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.
CRS (Client Relationship Summary) - RIA
Click below to view Michael David Pearce's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael David Pearce'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
July 13, 2020 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 150 California St 12th Floor, San Francisco, CA 94111Office #3: 1450 Chapin Ave 1st Floor, Burlingame, CA 94010RIA
BD
CRD#: 103705
San Francisco, CA
Current
July 10, 2020 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 150 California St 12th Floor, San Francisco, CA 94111Office #2: 1450 Chapin Ave 1st Floor, Burlingame, CA 94010RIA
BD
CRD#: 103705
San Francisco, CA
Past
August 23, 2017 - July 17, 2020
HARRISDIRECT LLC
RIA
CRD#: 42159
Palo Alto, CA
Past
August 23, 2017 - July 17, 2020
E*TRADE SECURITIES LLC
BD
CRD#: 29106
PALO ALTO, CA
Past
March 6, 2015 - August 30, 2017
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
BURLINGAME, CA
Past
January 5, 2015 - August 30, 2017
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
BURLINGAME, CA
Past
October 14, 2013 - January 15, 2015
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
SAN FRANCISCO, CA
Past
January 27, 2011 - October 17, 2011
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
PORTLAND, OR
Past
November 14, 2007 - December 22, 2010
MUTUAL OF AMERICA SECURITIES LLC
BD
CRD#: 27878
WALNUT CREEK, CA
Past
November 14, 2007 - December 22, 2010
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
BD
CRD#: 15356
WALNUT CREEK, CA
Past
May 18, 2006 - October 2, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
SAN FRANCISCO, CA
Past
May 18, 2006 - October 2, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
SAN FRANCISCO, CA
Past
October 31, 2005 - May 3, 2006
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
MORAGA, CA
Past
April 26, 2005 - May 3, 2006
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
MORAGA, 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(7/29/2025)
RR
Alaska(7/29/2025)
RR
Arizona(7/10/2020)
RR
Arkansas(7/29/2025)
RR
California(7/10/2020)
IAR
California(7/13/2020)
RR
Colorado(2/13/2025)
IAR
Colorado(2/18/2025)
RR
Connecticut(7/29/2025)
RR
Delaware(7/29/2025)
RR
District of Columbia(7/29/2025)
RR
Florida(7/10/2020)
RR
Georgia(7/29/2025)
RR
Hawaii(7/29/2025)
RR
Idaho(7/29/2025)
RR
Illinois(7/10/2020)
RR
Indiana(7/29/2025)
RR
Iowa(7/29/2025)
RR
Kansas(7/29/2025)
RR
Kentucky(7/29/2025)
RR
Louisiana(8/24/2020)
RR
Maine(7/29/2025)
RR
Maryland(7/29/2025)
RR
Massachusetts(7/29/2025)
RR
Michigan(7/29/2025)
RR
Minnesota(4/4/2025)
RR
Mississippi(7/29/2025)
RR
Missouri(7/29/2025)
RR
Montana(7/29/2025)
RR
Nebraska(7/29/2025)
RR
Nevada(7/10/2020)
RR
New Hampshire(7/29/2025)
RR
New Jersey(3/26/2024)
RR
New Mexico(7/29/2025)
RR
New York(12/10/2020)
RR
North Carolina(7/29/2025)
RR
North Dakota(7/29/2025)
RR
Ohio(7/30/2025)
RR
Oklahoma(7/10/2020)
RR
Oregon(7/10/2020)
RR
Pennsylvania(7/29/2025)
RR
Rhode Island(7/29/2025)
RR
South Carolina(3/26/2024)
RR
South Dakota(7/29/2025)
RR
Tennessee(4/3/2023)
RR
Texas(8/9/2022)
IAR
Texas(1/21/2025)
RR
Utah(7/29/2025)
RR
Vermont(7/29/2025)
RR
Virginia(3/31/2025)
RR
Washington(7/29/2025)
RR
West Virginia(7/29/2025)
RR
Wisconsin(7/29/2025)
RR
Wyoming(7/29/2025)
Exams
State Security Law Exam
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)
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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.
