Rafael L. Scroggins

CITY NATIONAL SECURITIES

San Francisco, CA 94111

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CRD#: 4928561

Professional summary

Rafael Lamar Scroggins, who also goes by Rafael L Scroggins, is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in San Francisco, California.

Rafael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Rafael has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rafael L Scroggins

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 Rafael Lamar Scroggins's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Rafael Lamar Scroggins'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

February 12, 2020 - Present

CITY NATIONAL SECURITIES, INC.

Office #1: 150 California St 12th Floor, San Francisco, CA 94111

RIA

CRD#: 103705

San Francisco, CA

Current

February 11, 2020 - Present

CITY NATIONAL SECURITIES, INC.

Office #1: 150 California St 12th Floor, San Francisco, CA 94111

RIA

CRD#: 103705

San Francisco, CA

Past

October 23, 2012 - November 20, 2019

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SAN FRANCISCO, CA

Past

October 18, 2012 - November 20, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SAN FRANCISCO, CA

Past

August 22, 2008 - December 6, 2010

COMERICA SECURITIES

RIA

CRD#: 17079

SAN FRANCISCO, CA

Past

August 22, 2008 - December 6, 2010

COMERICA SECURITIES

CRD#: 17079

SAN FRANCISCO, CA

Past

September 22, 2006 - July 25, 2008

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

SAN FRANCISCO, CA

Past

July 14, 2006 - July 25, 2008

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, 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".

CITY NATIONAL SECURITIES, INC.

CRD#: 103705 / SEC#: 801-71181, 8-52265

RIA

Registered Investment Advisory firm - SEC (3/22/2010 Approved)

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.

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

California
(2/12/2020)

IAR

California
(2/12/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/21/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/13/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CITY NATIONAL SECURITIES, INC.

CRD#: 103705 / SEC#: 801-71181, 8-52265

RIA

Registered Investment Advisory firm - SEC (3/22/2010 Approved)

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

SEC notice filing (31 States and Territories)

FINRA licenses (51 States and Territories)

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

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form 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.

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Advisor Monitoring

Firm Stability Insights

Rafael L. Scroggins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rafael Lamar Scroggins's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Rafael Lamar Scroggins's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITY NATIONAL SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

COMERICA SECURITIES

COMERICA SECURITIES

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

Primary Firm SEC Registration

CITY NATIONAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/21/2006

SIE

Date: 10/1/2018

Series 7

Date: 7/13/2006

FINRA

Current Firm

CITY NATIONAL SECURITIES, INC.

Contact information

SEC notice filing (31 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

CITY NATIONAL SECURITIES, INC.

TRUST BUT VERIFY

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