DF
Damon W. Francis
CITY NATIONAL SECURITIES
SAN DIEGO, CA
Some features on this profile are disabled
CRD#: 5008388
DF
Professional summary
Damon Wallace Francis is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in San Diego, California.
Damon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Damon has worked at 4 firms and has passed the Series 66, 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.
Personal investments in 12 active real estate LLCs (all in a limited partnership capacity with no obligations of time or fundraising): 1. CWP Lamar Station LLC. ~1% ownership in 2 multi family RE properties located at 1600 Hoyt Street Lakewwod, CO & 3125-3129 W Arkansas Denver, CO 2. Orep Eagle Crest JV, LLC. ~1% ownership in multi family RE property located at 9699 W. 16th Avenue Lakewood, CA 3. Orep Ranches JV LLC. ~ ~1% ownership in a multi family RE property located at 200 E 2300 N North Ogden, UT 4. Orep Hwy JV, LLC. ~1% ownership in a multi family RE property located at 10951 Laureate Drive San Antonio, TX 5. Orep Lookout Point Apartments Provo LLC.~1% ownership in a multi family RE property located at 1200 Terrace Drive, Provo UT 84604 6. Orep Yukon Court JV LLC. ~1% ownership in a multi family RE property located at 4490 Yukon Court Wheat Ridge, CO 7. Orep Rwtv JV, LLC~1% ownership in a multi family RE property located at 7937 W. 54th Avenue Arvada, CO 80002 8. Orep Timbers JV LLC. ~1% ownership in a multi family RE property located at 900 Peques St. San Marcos, TX 9. JBC Outlook 1 LLC. ~1% ownership in a multi family RE property located at 10228 194th St E Graham, WA 10. JBC Sky Harbor 2 LLC. ~1% ownership in a multi family RE property located at 2323 East Van Buren St. Phoenix, AZ 11. JBC Hamilton Oaks 4 LLC. ~2% ownership in a 40 acre RE development project in Austin, TX 12. Westport-Acacia Industrial Development, LLC. ~1% ownership in a self storage property located at 8500 Cunningham Lake Rd. Little Rock AR 13. Name of Entity: Meridian Heights LLC; Non-investment related Address: 8804 State Street, Sandy, UT 84070; Nature of OBA: 96 unit multifamily property; Position/Title/Relationship: Limited Partner; Start Date: 03/01/2024; Time devoted: 0 hours per month; 0 during securities trading hours Duties: ~1% owner/investor in the project with no duties/responsibilities. 14. Name of Entity: Westport Properties; Non investment-related; Address: 660 Newport Center Dr. Suite 1450 Newport Beach, CA 92660; Nature of OBA: Limited partner in a RE investment in a 321-unit multifamily development in Fort Myers, FL; Position/Title/Relationship: Limited Partner; Start Date: 09/25/2024; Time devoted: 0 hours per month; 0 during securities trading hours; Duties: Limited partner with no obligations of time or fundraising. 15. Name of Entity: Tideline Partners; Non investment-related; Address: 2148 Jimmy Durante Blvd. Suite B Del Mar, CA 92014; Nature of OBA: LLC investment in a retail real estate property located at 1916 S Coast Highway in Oceanside, CA.; Position/Title/Relationship: Limited Partner; Start Date: 09/25/2024; Time devoted: 0 hours per month; 0 during securities trading hours; Duties: I will be a limited partner with in the LLC with no obligations of time or fundraising.
CRS (Client Relationship Summary) - RIA
Click below to view Damon Wallace Francis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Damon Wallace Francis'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
April 14, 2023 - Present
CITY NATIONAL SECURITIES, INC.
Office #2: 4275 Executive Square 7th Floor, La Jolla, CA 92037RIA
BD
CRD#: 103705
SAN DIEGO, CA
Current
April 14, 2023 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 4275 Executive Square 7th Floor, La Jolla, CA 92037RIA
BD
CRD#: 103705
LA JOLLA, CA
Past
February 22, 2012 - March 15, 2023
U.S. BANCORP ADVISORS, LLC
RIA
CRD#: 14455
SAN DIEGO, CA
Past
February 22, 2012 - March 15, 2023
U.S. BANCORP ADVISORS, LLC
BD
CRD#: 14455
SAN DIEGO, CA
Past
November 3, 2010 - January 3, 2012
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SAN DIEGO, CA
Past
November 3, 2010 - January 3, 2012
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SAN DIEGO, CA
Past
April 5, 2006 - November 4, 2010
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
SAN DIEGO, CA
Past
October 18, 2005 - November 4, 2010
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
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(4/14/2023)
IAR
California(4/14/2023)
Exams
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.
