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JL

Jennifer A. Lee

CITY NATIONAL SECURITIES
LOS ANGELES, CA 90067
Some features on this profile are disabled
CRD#: 5483077
JL

Professional summary

Jennifer Anne Lee, who also goes by Jennifer A Lee, Jennifer Lee, is a registered financial professional currently at CITY NATIONAL SECURITIES, INC. located in Los Angeles, California.

Jennifer is registered as a RR (Registered Representative) and started their career in finance in 2008. Jennifer has worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jennifer A Lee | Jennifer Lee

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) - BD

Click below to view Jennifer Anne Lee'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

March 9, 2021 - Present

CITY NATIONAL SECURITIES, INC.

Office #1: 2029 Century Park East 1st Floor, Los Angeles, CA 90067
RIA
BD
CRD#: 103705
LOS ANGELES, CA
Past

May 24, 2017 - August 29, 2019

LPL FINANCIAL LLC

RIA
CRD#: 6413
LOS ANGELES, CA
Past

May 24, 2017 - August 29, 2019

LPL FINANCIAL LLC

BD
CRD#: 6413
LOS ANGELES, CA
Past

June 1, 2009 - June 29, 2016

MORGAN STANLEY

RIA
CRD#: 149777
LOS ANGELES, CA
Past

June 1, 2009 - June 29, 2016

MORGAN STANLEY

BD
CRD#: 149777
LOS ANGELES, CA
Past

September 5, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
LOS ANGELES, CA
Past

September 4, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
LOS ANGELES, CA
Past

March 25, 2008 - August 12, 2008

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
LOS ANGELES, CA
Past

March 14, 2008 - August 12, 2008

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
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 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.

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
(3/9/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/24/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 9/13/2008
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 3/13/2008
General Securities Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
CITY NATIONAL BANKSOLE SHAREHOLDER
BANUELOS, ALMA DELIABOARD MEMBER4530705
BARTON, RICHARD JOSEPHCHIEF COMPLIANCE OFFICER2040869
BRETADO, SANTIAGO AVILAVP, CFO1945627
DANIEL, JOBY SWANKUTTYBOARD DIRECTOR6616727
GIAQUINTO, GREGGBOARD DIRECTOR3182583
O'KEEFFE, IVOR PATRICKBOARD DIRECTOR2397120
RILEY, SHAWN DAVIDBOARD DIRECTOR7574191

Regulatory assets under management

Total Number of Accounts2,004
AUM (Assets Under Management)$ 1,591,349,877

Disclosures

Regulatory Event3

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

CITY NATIONAL SECURITIES, INC.

CRD#: 103705Los Angeles, CA 90067

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