LC
Lindsey D. Cook
CITY NATIONAL ROCHDALE
Beverly Hills, CA 90210
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CRD#: 5219164
LC
Professional summary
Lindsey Dawn Cook, CPWA®, who also goes by Lindsay Dawn Cook, is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in Beverly Hills, California and CNR SECURITIES, LLC located in Beverly Hills, California.
Lindsey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Lindsey has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lindsay Dawn Cook
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 - JY,Inc Investment Related - Yes Address - 224 Franklin Ave El Segundo, CA 90245 Nature of Business - Business Development and Coaching Position - Committee Member Tile or Relationship - Committee Member Start Date - 06/01/21 Hrs/Month - 4 Hrs/ Month during Trading Hours - 0 Description - Consultant for best practices, business development, and coaching (2) Name of Entity: Felicia's Children Center Foundation; Non investment-related; Address: 130 W 12th St Apt 6A, New York, NY 10011; Nature of OBA: Charitable foundation to support orphaned children in Africa with education and care; Position/Title/Relationship: Board Member; Start Date: 2025-01-20; Time devoted: 2 hours per month; 0 during securities trading hours; Duties: The center is in Tanzania, Africa. Providing education and care for orphaned children. My role will be to decide on fundraising initiatives and the advancement of center in Africa. .
CRS (Client Relationship Summary) - RIA
Click below to view Lindsey Dawn Cook'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®
CPWA®
Start date: 2021-06-29
Expire date: 2023-05-31
Experience
Current
November 4, 2010 - Present
CITY NATIONAL ROCHDALE
Office #1: 400 N Roxbury Drive 2nd Floor, Beverly Hills, CA 90210RIA
CRD#: 117198
Beverly Hills, CA
Current
November 4, 2010 - Present
CNR SECURITIES, LLC
Office #1: 400 N Roxbury Dr 7th Floor, Beverly Hills, CA 90210BD
CRD#: 18466
BEVERLY HILLS, CA
Past
January 3, 2007 - February 1, 2010
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
LOS ANGELES, CA
Past
January 3, 2007 - February 1, 2010
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
LOS ANGELES, CA
Past
November 24, 2006 - December 18, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
LOS ANGELES, CA
Past
November 14, 2006 - December 18, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
LOS ANGELES, 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 ROCHDALE
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC
CRD#: 117198 / SEC#: 801-27265
RIA
Registered Investment Advisory firm - (6/20/1986 Approved)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(7/9/2019)
RR
Arizona(7/23/2018)
IAR
California(11/4/2010)
RR
California(7/23/2018)
RR
Colorado(3/28/2019)
RR
Delaware(3/16/2021)
RR
Florida(11/20/2018)
RR
Georgia(11/20/2019)
RR
Hawaii(4/22/2022)
RR
Idaho(6/25/2024)
RR
Illinois(1/12/2015)
IAR
Illinois(1/12/2015)
RR
Indiana(11/6/2017)
RR
Kansas(7/23/2018)
RR
Louisiana(11/6/2017)
RR
Massachusetts(3/29/2019)
RR
Mississippi(3/17/2015)
RR
Nevada(12/22/2021)
RR
New Hampshire(9/6/2016)
RR
New Jersey(6/21/2016)
RR
New York(11/4/2010)
RR
Oklahoma(7/23/2019)
RR
Oregon(7/23/2018)
RR
Pennsylvania(3/19/2020)
RR
Tennessee(4/11/2014)
RR
Texas(7/23/2018)
IAR
Texas(7/24/2023)
RR
Virginia(8/29/2020)
RR
Washington(7/23/2018)
RR
Wisconsin(3/10/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CN
CITY NATIONAL ROCHDALE
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC
CRD#: 117198 / SEC#: 801-27265
RIA
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Contact information
Main Address
400 Park Avenue 10th Floor, New York, NY 10022
Mailing Address
Phone number
(212) 702-3500
Established
Firm type
Fiscal year end
# of Employees
235
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
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.
