AW
Andrew J. Wachner
CITY NATIONAL SECURITIES
San Francisco, CA 94111
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CRD#: 5424762
AW
Professional summary
Andrew Jason Wachner, CFP®, who also goes by Andy Jason Wachner, Drew Jason Wachner, is a registered financial advisor currently at CITY NATIONAL SECURITIES, INC. located in San Francisco, California.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Andrew has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andy Jason Wachner | Drew Jason Wachner
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 of Entity: Gehringer Park Recreation Club; Non investment-related; Address: 1790 Lynwood Drive, Concord, CA 94519; Nature of OBA: The Gehringer Park Recreation Club is a pool and garden club in my neighborhood. You have to be a member of the pool or garden to use the facilities. The club also has a swim team that my daughter swims for during the late spring and early summer.; Position/Title/Relationship: Board Member; Start Date: 2025-03-31; Time devoted: 8 hours per month; 0 during securities trading hours; Duties: For this year, I will be a board member at large to help with activities the board needs. This includes helping out at the pool and other Gehringer related events. The current treasurer is stepping down for the board at the end of 2025 and they would like to train me to take over her role starting next year in 2026. This includes me handling the budgeting and data analysis. It would not include paying bills or filing taxes, the board pays a book keeper to handle that. The treasurer, president and bookkeeper have signing ability on their bank account. I would update the OBAs immediately if this change occurs, but that would occur in 2026.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Jason Wachner's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Andrew Jason Wachner'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
December 17, 2014 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 150 California St 12th Floor, San Francisco, CA 94111RIA
BD
CRD#: 103705
San Francisco, CA
Current
January 15, 2015 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 150 California St 12th Floor, San Francisco, CA 94111RIA
BD
CRD#: 103705
San Francisco, CA
Past
April 2, 2013 - January 23, 2015
CITY NATIONAL ROCHDALE
RIA
CRD#: 117198
NEW YORK, NY
Past
November 30, 2012 - January 23, 2015
CNR SECURITIES, LLC
BD
CRD#: 18466
BEVERLY HILLS, 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
IAR
California(12/17/2014)
RR
California(1/15/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
