FG
Fred G. Grischott
CITY NATIONAL SECURITIES
Long Beach, CA
Some features on this profile are disabled
CRD#: 5024967
FG
Professional summary
Fred Giordan Grischott, CFA is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in Long Beach, California.
Fred is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Fred has worked at 2 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Fred Giordan Grischott's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Fred Giordan Grischott'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®
Experience
Current
April 20, 2010 - Present
CITY NATIONAL SECURITIES, INC.
Office #2: 400 N. Roxbury Dr. 2nd Floor, Beverly Hills, CA 90210RIA
BD
CRD#: 103705
Long Beach, CA
Current
March 30, 2010 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 400 N. Roxbury Dr. 2nd Floor, Beverly Hills, CA 90210RIA
BD
CRD#: 103705
BEVERLY HILLS, CA
Past
February 24, 2007 - November 10, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
LOS ALAMITOS, CA
Past
February 24, 2007 - November 10, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
LOS ALAMITOS, CA
Past
January 1, 2006 - January 10, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
LONG BEACH, CA
Past
October 6, 2005 - January 10, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
LONG BEACH, 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. | RBC 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(8/10/2018)
RR
Arkansas(7/29/2025)
RR
California(3/30/2010)
IAR
California(4/20/2010)
RR
Colorado(11/8/2017)
IAR
Colorado(2/13/2025)
RR
Connecticut(7/29/2025)
RR
Delaware(7/29/2025)
RR
District of Columbia(7/29/2025)
RR
Florida(1/21/2020)
IAR
Florida(12/2/2024)
RR
Georgia(8/10/2018)
RR
Hawaii(3/1/2023)
RR
Idaho(7/29/2025)
RR
Illinois(8/2/2023)
RR
Indiana(7/29/2025)
RR
Iowa(7/29/2025)
RR
Kansas(7/29/2025)
RR
Kentucky(7/29/2025)
RR
Louisiana(7/29/2025)
RR
Maine(3/17/2023)
RR
Maryland(7/29/2025)
RR
Massachusetts(11/19/2020)
RR
Michigan(3/26/2024)
RR
Minnesota(7/29/2025)
RR
Mississippi(7/29/2025)
RR
Missouri(8/10/2018)
RR
Montana(7/29/2025)
RR
Nebraska(7/29/2025)
RR
Nevada(4/19/2018)
RR
New Hampshire(7/29/2025)
RR
New Jersey(7/29/2025)
RR
New Mexico(7/29/2025)
RR
New York(6/25/2018)
RR
North Carolina(3/26/2024)
RR
North Dakota(7/29/2025)
RR
Ohio(7/23/2019)
RR
Oklahoma(7/29/2025)
RR
Oregon(9/10/2021)
RR
Pennsylvania(10/7/2019)
RR
Rhode Island(7/29/2025)
RR
South Carolina(7/29/2025)
RR
South Dakota(7/29/2025)
RR
Tennessee(7/29/2025)
RR
Texas(8/10/2018)
IAR
Texas(2/13/2025)
RR
Utah(6/24/2015)
RR
Vermont(7/29/2025)
RR
Virginia(10/7/2019)
RR
Washington(12/4/2024)
RR
West Virginia(7/29/2025)
RR
Wisconsin(2/25/2020)
RR
Wyoming(7/29/2025)
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. | RBC 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)
PREMIUM
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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
186
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 DIRECTOR | 4530705 |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 |
| BRETADO, SANTIAGO AVILA | VP & CHIEF FINANCIAL OFFICER | 1945627 |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 |
| GIAQUINTO, GREGG | BOARD DIRECTOR | 3182583 |
| MAGUIRE, WILLIAM JOHN JR | PRESIDENT & CHIEF EXECUTIVE OFFICER | 2040885 |
| O'KEEFFE, IVOR PATRICK | CHIEF OPERATING OFFICER & BOARD DIRECTOR | 2397120 |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 7574191 |
Regulatory assets under management
| Total Number of Accounts | 1,781 |
| AUM (Assets Under Management) | $ 1,515,102,638 |
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.
